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 |
---|---|---|---|---|---|---|---|---|
Cain Benjamin Kobert | 2673742 | 2 | 08/19/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Marci L Cartwright | 3207312 | 1 | 05/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Timothy William Leveroni | 836167 | 2 | 04/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Altin Tirana | 4837498 | 5 | 02/07/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Timothy William Leveroni | 836167 | 2 | 02/02/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Jeffrey Lance Prince | 2428655 | 4 | 12/07/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Frank L Martin | 2859847 | 3 | 11/09/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Michael Paul Wicks | 2546082 | 2 | 10/25/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Frank L Martin | 2859847 | 3 | 10/11/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Leo Alan Gotleib | 1162753 | 1 | 10/09/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |