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 |
|---|---|---|---|---|---|---|---|---|
| Mark Alan Steen | 2360860 | 5 | 03/01/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Alan Fink | 1792442 | 4 | 02/20/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Davis | 7260336 | 1 | 02/13/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Allen Kamin | 2770401 | 2 | 02/13/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas L Popovec | 5705390 | 16 | 02/08/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kristin Michelle Kennedy | 2649731 | 1 | 02/01/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Esau Cruz Quiroz | 7409378 | 5 | 01/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Zoe Rebekah Alexander | 2234462 | 1 | 12/19/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher A Byfield | 5656013 | 1 | 12/18/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Jr Aguilar | 7456832 | 8 | 11/27/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |