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 |
|---|---|---|---|---|---|---|---|---|
| Leo Salbe Coppeta | 1989660 | 4 | 10/26/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lori Lynn Stine | 2817012 | 1 | 10/04/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Seth James Diener | 4623188 | 1 | 09/10/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David G Domian | 5635848 | 7 | 09/03/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bret Lee Rollins | 4201560 | 2 | 07/06/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Francis Helfrich | 4397823 | 2 | 05/07/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert P Mojsej | 4590577 | 1 | 05/05/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David G Domian | 5635848 | 7 | 04/02/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Benjamin Garner | 706036 | 3 | 03/22/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Buddy Dean Mason | 1721391 | 5 | 01/04/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |