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 Martin Hansen | 236334 | 2 | 01/06/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Maurice Gribble | 1354211 | 3 | 11/07/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank James McGovern | 1252899 | 2 | 09/12/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Grayson Easterling | 1663918 | 1 | 07/15/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Burton Oquin | 873665 | 2 | 07/15/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rodney Kerber | 5763887 | 1 | 06/15/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Patrick Walsh | 1477994 | 1 | 05/15/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Wallace McMakin | 1157561 | 2 | 03/05/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Louis Pashos | 1390179 | 1 | 02/04/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Arthur Hoppe | 1017793 | 1 | 11/01/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |