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 |
|---|---|---|---|---|---|---|---|---|
| Donald Dean Cohee | 728007 | 3 | 04/14/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Misty Lane Doucet | 2342293 | 3 | 12/09/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lisa Lynn Washington | 1986782 | 8 | 12/09/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Weymouth Anthony Jones | 3204645 | 4 | 09/18/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas James Sanders | 1331084 | 3 | 07/23/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stafford Andre Lawrence | 6905395 | 3 | 07/01/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lam V Nguyen | 7068072 | 2 | 06/02/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lisa Lynn Washington | 1986782 | 8 | 05/27/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shaun B Floresca | 4758697 | 3 | 02/26/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Francis Helfrich | 4397823 | 2 | 01/25/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |