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 |
|---|---|---|---|---|---|---|---|---|
| Linda MacHelle Hinton | 4404949 | 5 | 12/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carole Ann Lane | 2428784 | 1 | 12/23/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Calvin Gillelen | 1868626 | 7 | 12/23/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Anthony Hawk | 3263646 | 1 | 12/19/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Michael Spencer | 1883056 | 1 | 12/08/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eliezer B Lopez | 3228617 | 1 | 12/05/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Jon Chwalek | 2159441 | 2 | 12/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew James Vanorder | 4462037 | 1 | 11/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Douglas Wright | 5288082 | 1 | 11/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Joseph Dias | 4185234 | 2 | 11/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |