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 |
|---|---|---|---|---|---|---|---|---|
| Anthony John Marciano | 2321853 | 1 | 01/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| David Jon Nastri | 5178144 | 2 | 01/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Christopher Mark Baughan | 3193538 | 1 | 01/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Kalen Dobbins Baxter | 2920908 | 1 | 01/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Shaun B Floresca | 4758697 | 3 | 01/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Vincent Anthony Pallitto | 3236328 | 2 | 01/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Timothy Lee Connor | 2222028 | 3 | 12/22/2023 | Customer Dispute | Pending | $80,000.00 | $0.00 | See FINRA Report |
| Felix Sherrard Lemarinel | 4900248 | 1 | 12/19/2023 | Customer Dispute | Pending | $32,360.00 | $0.00 | See FINRA Report |
| John David Anderson | 2818878 | 1 | 12/06/2023 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Freddie Lee Barbour | 1603035 | 2 | 12/04/2023 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |