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 |
|---|---|---|---|---|---|---|---|---|
| Lucinda Kathleen Adrian | 6257518 | 6 | 04/25/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| George William Melbrod | 723108 | 1 | 01/29/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Timothy Allen Self | 4938703 | 7 | 08/23/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Marlene Michelle Muscovich | 2746627 | 3 | 06/15/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Corey Scott Levine | 1878968 | 2 | 02/29/2016 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Larry Lee Kiser | 2055694 | 4 | 11/01/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| James Howard Ponder | 2533162 | 1 | 03/13/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Ronald Thomas Davies | 4653425 | 1 | 08/20/2012 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Morgan Kim Debold | 1268010 | 1 | 06/01/2010 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Ralph Steven Ruckart | 725945 | 3 | 11/02/2009 | Customer Dispute | Pending | $46,000.00 | $0.00 | See FINRA Report |