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 |
|---|---|---|---|---|---|---|---|---|
| Olaf Andrew Hoff | 1161138 | 1 | 02/07/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Warren Lamb | 1437554 | 5 | 11/25/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Stephen Dimenna | 1269860 | 1 | 10/11/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Douglas Berry | 2846046 | 4 | 09/23/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Donald Joseph Magdon | 1833740 | 6 | 05/15/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Henry Perry | 4612862 | 1 | 04/23/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| McFaddin Moise | 1086873 | 1 | 04/16/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin David Callagy | 3008571 | 3 | 02/12/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Charles Cerny | 2233044 | 9 | 01/28/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Alan Cormier | 1088273 | 3 | 12/21/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |