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 |
|---|---|---|---|---|---|---|---|---|
| Joshua John Sands | 5517842 | 2 | 09/26/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas W Gahler | 5077166 | 2 | 08/16/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel P Stewart | 2892000 | 2 | 08/02/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David M Rice | 2971029 | 2 | 02/07/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jaret Clinton Mutter | 4577955 | 3 | 04/04/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Trevor Adam Johnson | 4846376 | 1 | 03/13/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Joseph Anderson | 5304566 | 1 | 01/29/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Patrick Kelly | 3065740 | 3 | 01/03/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Rhett Fordham | 4592437 | 5 | 12/28/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Victor Werner | 6127094 | 3 | 11/29/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |