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 |
|---|---|---|---|---|---|---|---|---|
| James D King | 5531079 | 1 | 01/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank James McGovern | 1252899 | 2 | 01/12/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Moberg Nash | 6143498 | 2 | 01/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Howard Fuchs | 5574526 | 6 | 01/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Howard Fuchs | 5574526 | 6 | 01/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Alaeddin Fatemi | 4935681 | 3 | 01/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Alaeddin Fatemi | 4935681 | 3 | 01/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Howard Fuchs | 5574526 | 6 | 01/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Charles Dexter | 2980270 | 2 | 01/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Michelle Proud Smith | 6381608 | 6 | 01/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |