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 |
|---|---|---|---|---|---|---|---|---|
| Linda Clair Mills | 845952 | 6 | 08/28/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kevin Clinton Loyd | 4447419 | 4 | 08/22/2023 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Kelley | 1021878 | 2 | 08/18/2023 | Customer Dispute | Pending | $2,000,000.00 | $0.00 | See FINRA Report |
| Phil Martin Andrews | 5470357 | 1 | 08/03/2023 | Customer Dispute | Pending | $43,000.00 | $0.00 | See FINRA Report |
| David Paul Yahnian | 1496815 | 1 | 08/03/2023 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Daniel Seth Steele | 5697477 | 1 | 07/31/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Stacy Wade Spearman | 3158108 | 1 | 06/02/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michelle Lee Hibberd | 6515264 | 1 | 05/18/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Cherie Lynette Harris | 4824267 | 6 | 05/12/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Randolph Miles Peters | 1472005 | 1 | 05/04/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |