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 |
|---|---|---|---|---|---|---|---|---|
| Conrad Lee Kerber | 2813803 | 4 | 03/26/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Robert Tober | 1252006 | 1 | 02/21/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Elliott Letch | 851975 | 2 | 12/11/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Lee Sackman | 1133732 | 4 | 12/04/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Simmons Brixey | 1484336 | 1 | 11/12/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Dean Clark | 1086724 | 3 | 11/04/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas S Wagner | 5343979 | 2 | 09/27/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert James Baptist | 1576889 | 6 | 08/16/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Eugene Neal | 1416896 | 1 | 07/31/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Alan Register | 2270475 | 3 | 07/01/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |