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 | 10/12/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lisa Lynn Washington | 1986782 | 8 | 10/12/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Perry Alan Silverman | 1272294 | 3 | 09/04/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lorraine Ellen Speirs | 2050929 | 8 | 08/31/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul John Smith | 6375781 | 1 | 08/30/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sharon Nicole Currier | 6548992 | 1 | 04/23/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Katrina R Hooks-Wiggins | 4862507 | 1 | 04/19/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Perry Alan Silverman | 1272294 | 3 | 12/01/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lisa Adrienne Franklin | 2570373 | 3 | 08/14/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George Lynn Halderman | 4211424 | 2 | 07/17/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |