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 |
|---|---|---|---|---|---|---|---|---|
| Cynthia Booze Richardson | 5024601 | 1 | 06/25/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Kevin Maloney | 1248200 | 1 | 06/16/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip Scott Eggers | 2064151 | 2 | 06/03/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward T Daly | 7327388 | 2 | 03/20/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Edward Podawiltz | 2528768 | 2 | 01/07/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick Focke Mischler | 5998165 | 1 | 12/03/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Mark Visser | 3023343 | 2 | 10/11/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Keith Stair | 1291387 | 3 | 10/10/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ken Anthony Bradshaw | 6192508 | 3 | 10/07/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Duane Story | 2910330 | 8 | 06/18/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |