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FINRA Broker Disclosures for LPL Financial LLC

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.

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Displaying 10 out of 345 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Cain Benjamin Kobert2673742208/19/2024RegulatoryFinal$0.00$0.00See FINRA Report
Marci L Cartwright3207312105/03/2024RegulatoryFinal$0.00$0.00See FINRA Report
Timothy William Leveroni836167204/03/2024RegulatoryFinal$0.00$0.00See FINRA Report
Altin Tirana4837498502/07/2024RegulatoryFinal$0.00$0.00See FINRA Report
Timothy William Leveroni836167202/02/2024RegulatoryFinal$0.00$0.00See FINRA Report
Jeffrey Lance Prince2428655412/07/2023RegulatoryFinal$0.00$0.00See FINRA Report
Frank L Martin2859847311/09/2023RegulatoryFinal$0.00$0.00See FINRA Report
Michael Paul Wicks2546082210/25/2023RegulatoryFinal$0.00$0.00See FINRA Report
Frank L Martin2859847310/11/2023RegulatoryFinal$0.00$0.00See FINRA Report
Leo Alan Gotleib1162753110/09/2023RegulatoryFinal$0.00$0.00See FINRA Report

345 Results

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