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 J Morley | 2364698 | 3 | 11/07/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alex Hung Nguyen | 2843949 | 2 | 08/27/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dale Gerard Huber | 2786649 | 1 | 07/18/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Bernardo | 2334263 | 4 | 05/17/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Darold Wing Mark | 1323253 | 3 | 03/16/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joey Lynn Price | 1462557 | 4 | 02/27/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carlos Romero Mendoza | 4237221 | 2 | 02/27/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Richard Buck | 2372799 | 1 | 12/26/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Eugene Musumeci | 343955 | 1 | 11/21/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bert Ancel Doerhoff | 4463814 | 1 | 10/10/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |