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 Christopher North | 2089713 | 5 | 11/30/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Brian Moloney | 1543528 | 3 | 09/29/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Lynn Graybill | 1091933 | 2 | 09/26/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lanny Rex Stout | 1407760 | 1 | 08/16/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Francis Xavier Astorino | 1215124 | 1 | 04/21/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edmund Colwell McNeil | 1112322 | 3 | 02/04/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Christopher North | 2089713 | 5 | 10/21/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Glenn Braxton Moyer | 1045504 | 3 | 10/19/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Earl Aksel Pedersen | 2160874 | 5 | 10/18/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Richard Loft | 1717679 | 4 | 08/30/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |