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 |
|---|---|---|---|---|---|---|---|---|
| Richard Robert Lepine | 1867250 | 1 | 12/15/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Bryce Mitchell Williams | 7223173 | 1 | 12/06/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Cherie Lynette Harris | 4824267 | 6 | 11/03/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian Todd Bishop | 3173651 | 1 | 06/13/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Ronald Lee Weatherly | 3095024 | 1 | 03/11/2022 | Customer Dispute | Pending | $157,000.00 | $0.00 | See FINRA Report |
| Smitha Thomas | 3128270 | 3 | 03/10/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Wendy Marie Cundari | 2118351 | 5 | 02/10/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Gregory Jay Gursey | 2070836 | 3 | 12/16/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jacob Woodson Ritter | 5976441 | 1 | 05/19/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Gregg Robert Manis | 2015153 | 1 | 03/03/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |