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 |
|---|---|---|---|---|---|---|---|---|
| Mark Chester Hegstrom | 4289931 | 1 | 01/24/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Eric Jay Reed | 2077638 | 1 | 01/24/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Erik C Pinter | 3104704 | 1 | 01/24/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Eric Justin Long | 4809903 | 1 | 01/19/2024 | Customer Dispute | Pending | $275,000.00 | $0.00 | See FINRA Report |
| Barry Luther Buchholz | 1583582 | 9 | 01/18/2024 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| Douglas Duane Nelson | 4609776 | 1 | 01/11/2024 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Esau Cruz Quiroz | 7409378 | 5 | 01/05/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Esau Cruz Quiroz | 7409378 | 5 | 01/05/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Esau Cruz Quiroz | 7409378 | 5 | 01/05/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Timothy Lee Connor | 2222028 | 3 | 01/04/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |