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 |
|---|---|---|---|---|---|---|---|---|
| Bruce Alan Hawkes | 1073573 | 1 | 11/19/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Richard Lofy | 4469343 | 1 | 11/04/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Bernardo | 2334263 | 4 | 07/27/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Fernando Valente | 2191086 | 6 | 06/28/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Wayne Charles Maier | 317449 | 2 | 04/27/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Earl Aksel Pedersen | 2160874 | 5 | 04/16/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Roy Woldt | 2508804 | 2 | 03/25/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Richard Jones | 2268300 | 1 | 02/12/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Patrick Lynch | 2166274 | 1 | 02/12/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew James Powers | 1885672 | 2 | 02/12/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |