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 |
|---|---|---|---|---|---|---|---|---|
| Lucinda Kathleen Adrian | 6257518 | 6 | 04/25/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Lucinda Kathleen Adrian | 6257518 | 6 | 04/25/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Mark Clay Sutherland | 1200157 | 3 | 03/12/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| George William Melbrod | 723108 | 1 | 01/29/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Timothy Allen Self | 4938703 | 7 | 08/23/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kimberly Torres Lentz | 6367981 | 6 | 06/25/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Marlene Michelle Muscovich | 2746627 | 3 | 06/15/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kimberly Torres Lentz | 6367981 | 6 | 05/12/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kimberly Torres Lentz | 6367981 | 6 | 03/03/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kimberly Torres Lentz | 6367981 | 6 | 01/22/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |