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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Frederick Lim | 1295868 | 7 | 02/03/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Earl Aksel Pedersen | 2160874 | 5 | 01/30/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Pankaj V Udeshi | 1523083 | 4 | 01/14/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Bryan Aldrich | 2265693 | 3 | 12/29/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Conrad Lee Kerber | 2813803 | 4 | 12/09/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Donald Joseph Magdon | 1833740 | 6 | 12/05/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Anthony Guarino | 1973195 | 2 | 11/06/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Jane Johnson | 1147428 | 2 | 08/25/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Judith Watkins Blaising | 2332242 | 3 | 05/27/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William R Berkowitz | 19518 | 4 | 05/09/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |