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 |
|---|---|---|---|---|---|---|---|---|
| Richard George Thomas | 1817420 | 11 | 05/30/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Edwin Rall | 1170826 | 2 | 05/14/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alicia Dawn Rasche | 4746169 | 1 | 03/26/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Charles Cerny | 2233044 | 9 | 03/08/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Allen Stockton | 5931853 | 1 | 02/14/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Charles Cerny | 2233044 | 9 | 01/30/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Gleason | 6722195 | 1 | 01/01/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Hastings Hammett | 5147474 | 2 | 12/13/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Wayne Arnold | 2535488 | 3 | 11/04/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Scott Hyman | 4542855 | 1 | 10/24/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |