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 |
|---|---|---|---|---|---|---|---|---|
| Steven G Brettler | 4367351 | 2 | 01/31/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Robert Finnie | 2112495 | 5 | 01/26/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Altin Tirana | 4837498 | 3 | 01/23/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Franklin | 855354 | 1 | 12/21/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Sherman White | 4657615 | 1 | 10/26/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Hayes Beck | 5859669 | 1 | 05/12/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Joseph Knox | 1206837 | 1 | 09/09/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Katie Shay Bogue | 6604148 | 3 | 02/07/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brad Joseph Stainsby | 6534062 | 1 | 02/06/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Molly Theresa Murphy Lafleche | 5070663 | 1 | 11/14/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |