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 |
|---|---|---|---|---|---|---|---|---|
| Joseph John Mastroianni | 4937142 | 3 | 08/10/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Reuben Nessim | 2045490 | 2 | 04/28/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David John Segarra | 4482059 | 3 | 12/14/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Ronald Baucom | 5055552 | 1 | 10/05/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marvin Stewart Heiman | 1091724 | 3 | 08/10/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Coburn Derway | 1873991 | 2 | 06/13/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Dean Henson | 1748328 | 2 | 06/05/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Lynn Graybill | 1091933 | 2 | 03/08/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Gerald Sadler | 2800098 | 1 | 03/01/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rebecca J Gill | 3168794 | 1 | 11/17/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |