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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Lynn Washington | 1986782 | 8 | 12/09/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joyce M Maree | 1283157 | 3 | 09/20/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Anthony Fiumara | 2585346 | 2 | 09/16/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Maria Catherine Cacia | 2358022 | 4 | 08/17/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert James Kinnun | 1990549 | 1 | 08/17/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ian H Ugarte | 4126951 | 2 | 08/03/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joyce M Maree | 1283157 | 3 | 07/30/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Donald Dean Cohee | 728007 | 3 | 07/08/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ian H Ugarte | 4126951 | 2 | 05/14/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Payton Donel Crossley | 1716523 | 9 | 04/21/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |