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 |
|---|---|---|---|---|---|---|---|---|
| Roy Charles Woehrman | 2564754 | 2 | 07/20/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Lynne Bissell | 4254998 | 1 | 07/10/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Robert Dame | 1206871 | 1 | 03/17/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Lee Howard | 2674327 | 1 | 01/27/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Michael Donovan | 4166730 | 1 | 11/07/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Ronald Hatfield | 2640818 | 3 | 07/15/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Jung Lee | 3078914 | 2 | 03/29/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Patrick Dennen | 3239786 | 1 | 11/13/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William George Gray | 3268915 | 1 | 10/28/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Finley Tedstrom | 1276928 | 2 | 10/13/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |