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 |
|---|---|---|---|---|---|---|---|---|
| Cherie Lynette Harris | 4824267 | 6 | 03/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Iva Yvonne Goodwin | 2875326 | 1 | 02/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kiley Sorale Demery | 4422517 | 1 | 02/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wesley David Mar | 1328556 | 3 | 02/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Buddy Dean Mason | 1721391 | 5 | 02/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Scott Small | 1134412 | 3 | 02/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Cameron Rooney | 3162049 | 2 | 02/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Cameron Rooney | 3162049 | 2 | 02/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas L Sublewski | 5853159 | 2 | 02/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen T Soule | 2268958 | 2 | 02/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |