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 |
|---|---|---|---|---|---|---|---|---|
| Frank Joseph Esposito | 2446746 | 4 | 05/13/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Phillip Jon Devereaux | 6974763 | 1 | 01/07/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bradly Edward Tharp | 2014715 | 5 | 05/14/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bruce Allen Perhach | 2103028 | 3 | 02/26/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrea Lynn Silva | 4644503 | 1 | 02/24/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lorraine Ellen Speirs | 2050929 | 8 | 02/24/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Perry Alan Silverman | 1272294 | 3 | 04/12/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jorge Alberto Salazar | 2870062 | 6 | 03/01/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jorge Alberto Salazar | 2870062 | 6 | 02/22/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas James Sanders | 1331084 | 3 | 09/20/2001 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |