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 |
|---|---|---|---|---|---|---|---|---|
| Erin Colleen Eason | 4468573 | 4 | 01/12/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Deborah Ann Alix | 6297900 | 1 | 11/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Gesullo | 5016897 | 1 | 11/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Edward Bishop | 2601318 | 1 | 11/10/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Shannon Hudgens | 3026050 | 3 | 11/08/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Allan Haupt | 4151430 | 2 | 11/04/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Myre | 5113041 | 1 | 11/04/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shelly Lynn Aros | 2399851 | 1 | 09/12/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Neil E Bitzer | 2198422 | 1 | 09/01/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Dennis Lyman | 1184978 | 4 | 08/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |