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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Wright Starling | 3224374 | 4 | 01/26/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Orin Lee Haworth | 2556174 | 2 | 12/02/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Roy Woldt | 2508804 | 2 | 09/25/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Mark Visser | 3023343 | 2 | 09/16/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard John Rustin | 4483351 | 2 | 06/09/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Linton Fred Banwell | 11952 | 2 | 03/10/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jerry Dale Reder | 1270457 | 2 | 09/15/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Fred J Abbott | 2278230 | 2 | 09/12/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremiah R Butout | 5462860 | 2 | 09/03/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip Scott Eggers | 2064151 | 2 | 08/22/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |