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 |
|---|---|---|---|---|---|---|---|---|
| Kimberly A Cox | 2706936 | 1 | 05/02/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Duncan Gerard MacEachern | 1856591 | 2 | 04/10/2023 | Customer Dispute | Pending | $800,000.00 | $0.00 | See FINRA Report |
| Ryan William Hall | 5077163 | 1 | 04/10/2023 | Customer Dispute | Pending | $800,000.00 | $0.00 | See FINRA Report |
| Timothy Lee Connor | 2222028 | 3 | 03/17/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Mark Calvin Gillelen | 1868626 | 7 | 03/17/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Peter Martin Evans | 1516196 | 2 | 03/16/2023 | Customer Dispute | Pending | $1,626,970.00 | $0.00 | See FINRA Report |
| Kerri Ann Patrick | 2365726 | 1 | 03/03/2023 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| William Demopolis | 6624936 | 3 | 02/27/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian R Bates | 2318413 | 6 | 02/13/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Bryan Joseph Rocks | 6920332 | 1 | 01/30/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |