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 |
|---|---|---|---|---|---|---|---|---|
| Jorge Alberto Salazar | 2870062 | 6 | 08/10/2001 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jorge Alberto Salazar | 2870062 | 6 | 08/06/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bruce Allen Perhach | 2103028 | 3 | 06/23/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jill Allyson Velez-Hayes | 5165172 | 1 | 06/01/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephanie Kepley Hall | 4610081 | 3 | 04/28/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathy A Watson | 4966072 | 2 | 08/15/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derrick Smith Andrews | 1852661 | 2 | 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 |