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 |
|---|---|---|---|---|---|---|---|---|
| James Dominic Toussaint | 2091466 | 1 | 01/08/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Alfred Rendon | 836313 | 2 | 10/29/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Shannon Walden | 3025740 | 3 | 10/20/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John David Glover | 1355757 | 2 | 09/30/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joey Lynn Price | 1462557 | 4 | 09/17/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Michael Dunnigan | 1270531 | 7 | 09/08/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Keith Akers | 1443047 | 2 | 08/06/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Raymond Ouellette | 2358669 | 2 | 05/04/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Henry Gray | 2849596 | 4 | 04/03/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Calvert Bates | 1059458 | 2 | 03/12/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |