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 |
|---|---|---|---|---|---|---|---|---|
| James Michael Frawley | 2867752 | 2 | 01/21/2021 | Customer Dispute | Pending | $64,372,000.00 | $0.00 | See FINRA Report |
| Kent Dean Sherfey | 2170605 | 1 | 02/12/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Pablo Alberto Davila | 6552303 | 4 | 11/27/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Dennis Lyman | 1184978 | 3 | 02/12/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Gene Witham | 2139442 | 7 | 08/06/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Gene Witham | 2139442 | 7 | 07/19/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Albert Anthony Pometto | 4304309 | 2 | 07/18/2018 | Customer Dispute | Pending | $24,256.00 | $0.00 | See FINRA Report |
| Timothy Allen Self | 4938703 | 7 | 06/14/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sean Luigi Covi | 2643094 | 1 | 06/11/2018 | 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 |