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 |
|---|---|---|---|---|---|---|---|---|
| Hyon Chu Kang | 1482340 | 4 | 02/28/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Bradley Englund | 5083574 | 2 | 02/14/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Melinda Cook McCullough | 5109052 | 9 | 12/14/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Shane Hay | 2697622 | 2 | 12/14/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Passerino | 2759051 | 3 | 10/13/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Coburn Derway | 1873991 | 2 | 09/17/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Keith Stair | 1291387 | 3 | 08/19/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dawn Michelle Gordon | 1493904 | 4 | 06/30/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Orin Lee Haworth | 2556174 | 2 | 04/15/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rodolfo Benjamin Zamora | 4678421 | 1 | 03/19/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |