Our Staff has compiled our research into a database of FINRA Broker Disclosures for LPL Financial LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Matthew Neil | 4014044 | 2 | 03/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Pamela Kay McKenzie | 4923909 | 3 | 03/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Howard Ponder | 2533162 | 1 | 03/13/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Lee Sheppard | 5958924 | 1 | 03/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lindsey Ann Rogers | 6320883 | 1 | 03/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George Michael Gahles | 2671866 | 1 | 03/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Michelle Proud Smith | 6381608 | 6 | 03/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carl David Newton | 5471594 | 1 | 03/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Todd Murr | 5683975 | 1 | 03/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cherie Lynette Harris | 4824267 | 6 | 03/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |