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 |
|---|---|---|---|---|---|---|---|---|
| Robert Michael Grenus | 2195781 | 5 | 05/19/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Alan Maas | 3198288 | 1 | 05/13/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John Kennedy Ulwick | 1758865 | 2 | 04/29/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jack Brent Godfrey | 2928652 | 3 | 04/18/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Vladimir Michael Greben | 2547477 | 2 | 04/08/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Christopher Carl Cavallaro | 2125009 | 4 | 04/05/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Frank Stuart | 4417262 | 3 | 03/28/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Charles O'Meara | 2652113 | 4 | 03/24/2022 | Customer Dispute | Pending | $50,000.00 | $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 |