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 |
|---|---|---|---|---|---|---|---|---|
| Michael Robert Neill | 4700490 | 3 | 09/28/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John E Pelletier | 4205289 | 2 | 09/21/2023 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Kevin Clinton Loyd | 4447419 | 4 | 07/18/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven G Brettler | 4367351 | 3 | 06/07/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Robert Neill | 4700490 | 3 | 05/09/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lance Prince | 2428655 | 4 | 04/20/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Altin Tirana | 4837498 | 5 | 03/30/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lance Prince | 2428655 | 4 | 03/21/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robin Bailey Liebes | 2362467 | 2 | 02/07/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven G Brettler | 4367351 | 3 | 01/31/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |