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 |
|---|---|---|---|---|---|---|---|---|
| Altin Tirana | 4837498 | 5 | 01/23/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Pratik Kirtikumar Bhavsar | 6558809 | 1 | 03/11/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Bruce McEwen | 1021118 | 1 | 01/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Sherman White | 4657615 | 1 | 10/26/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Hayes Beck | 5859669 | 1 | 05/12/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew David Perona | 2452636 | 1 | 02/12/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Joseph Knox | 1206837 | 1 | 09/09/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lillian Degasperis | 2363667 | 1 | 04/16/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Gomez | 5333380 | 1 | 03/02/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Katie Shay Bogue | 6604148 | 3 | 02/07/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |