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 |
|---|---|---|---|---|---|---|---|---|
| Christopher John Birmingham | 1873033 | 3 | 09/09/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joey Lynn Price | 1462557 | 4 | 09/01/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Michael Cohen | 1201263 | 6 | 07/19/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Frawley | 2867752 | 2 | 05/01/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Andrew Kinney | 1918369 | 3 | 04/27/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barbara Jean Brennan | 1456135 | 1 | 04/25/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steve Trowbridge | 2153891 | 1 | 04/05/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Jane Johnson | 1147428 | 2 | 03/14/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Donald Joseph Magdon | 1833740 | 6 | 02/09/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Ray Grubb | 1999653 | 6 | 01/27/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |