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 |
|---|---|---|---|---|---|---|---|---|
| Steven John Kesses | 736577 | 2 | 05/24/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brant Edward Garber | 2127737 | 1 | 05/23/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey John Kobak | 2856529 | 2 | 05/10/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Thomas Hopper | 2181853 | 1 | 05/08/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Gary Prestyly | 1674837 | 2 | 05/02/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Glen Kasteler | 2182796 | 1 | 02/16/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Allen Haney | 2295136 | 1 | 01/25/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Hugh McKeever | 3162952 | 1 | 01/22/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Blake Hayden Henry | 5693979 | 2 | 01/11/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anil Singh | 2793051 | 5 | 12/08/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |