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 |
|---|---|---|---|---|---|---|---|---|
| Louis Michael Aidala | 1365376 | 2 | 11/26/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derrick Smith Andrews | 1852661 | 6 | 02/04/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Joseph Whelan | 1836559 | 2 | 11/15/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Joseph Esposito | 2446746 | 4 | 12/28/1994 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Howard Bruce Golick | 2319119 | 1 | 09/22/1992 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Ray Pitts | 4777045 | 3 | 07/30/1992 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Ray Pitts | 4777045 | 3 | 05/01/1992 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bradly Edward Tharp | 2014715 | 5 | 12/30/1991 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bradly Edward Tharp | 2014715 | 5 | 07/18/1990 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |