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 |
|---|---|---|---|---|---|---|---|---|
| David Oster Bushard | 1432510 | 1 | 06/01/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John David Glover | 1355757 | 2 | 03/06/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas John Walsh | 854338 | 1 | 03/06/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Patrick Clancy | 1330063 | 2 | 12/13/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Jon Davis | 3016367 | 2 | 12/06/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Andre Lone | 1684501 | 1 | 10/31/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Bruce Goldis | 1296658 | 2 | 08/17/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Wendy Sue Castaldy | 1369861 | 2 | 08/17/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Allen Withers | 728175 | 1 | 08/07/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Frank Nielsen | 1246076 | 3 | 08/04/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |