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 |
|---|---|---|---|---|---|---|---|---|
| Scott Regan Mohler | 2107556 | 1 | 08/23/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold Francis Scattergood | 412133 | 2 | 08/18/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Douglas Ziller | 1532514 | 3 | 07/07/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Paul Behl | 1216009 | 3 | 03/31/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Jeffrey Campbell | 1430366 | 1 | 03/10/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Keener | 1505012 | 1 | 10/23/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Kipling Durham | 1142920 | 1 | 08/10/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Fernando Valente | 2191086 | 6 | 05/01/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Mark Shepherd | 1844029 | 3 | 04/08/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Fred Andrew Goodman | 2706980 | 1 | 01/13/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |