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 | 11/20/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Jones Fannin | 3166145 | 9 | 11/07/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Brian Doolin | 4490102 | 1 | 11/06/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Anthony Baldini | 2078217 | 2 | 11/01/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel MacRi | 1743406 | 2 | 10/19/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Anthony Zamora | 3227296 | 2 | 09/28/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Matthew Simula | 3046548 | 3 | 09/28/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Anthony Faraone | 2847732 | 6 | 09/21/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lilyana Aiwas | 7028974 | 1 | 09/08/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tim Paul Peyton | 1773817 | 7 | 09/05/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |