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 |
|---|---|---|---|---|---|---|---|---|
| Bruce O Dye | 3014341 | 2 | 01/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Alaeddin Fatemi | 4935681 | 3 | 01/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Howard Fuchs | 5574526 | 6 | 01/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Edward Henderson | 3074897 | 1 | 01/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stacie E Lambert-Snooks | 5416939 | 1 | 01/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hailey Denise Green | 6460066 | 1 | 01/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony John Gizzarelli | 6484929 | 1 | 01/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Howard Fuchs | 5574526 | 6 | 01/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Paul Sciortino | 2425629 | 6 | 01/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Michelle Proud Smith | 6381608 | 6 | 01/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |