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 |
|---|---|---|---|---|---|---|---|---|
| Angela Beth Zachman | 2870160 | 1 | 09/05/2024 | Customer Dispute | Pending | $40,000.00 | $0.00 | See FINRA Report |
| James Byron Dokken | 6423259 | 1 | 08/30/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kathy A Watson | 4966072 | 2 | 08/27/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| David Edward Waite | 4610145 | 2 | 08/26/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Peter J Cox | 4501828 | 2 | 08/25/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Timothy John Cleveland | 5391137 | 1 | 08/23/2024 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Roger Randall Given | 2198309 | 1 | 08/20/2024 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Leigh A Allen | 5711971 | 1 | 08/15/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Riley Robert Giauque | 7180635 | 1 | 08/12/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Lam V Nguyen | 7068072 | 2 | 08/02/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |