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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Craig Cherington | 704161 | 3 | 07/19/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Donald Allison | 1136667 | 2 | 05/31/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Agnes Ann Roach | 1229343 | 1 | 03/29/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Linda Louise Roman | 1576155 | 2 | 01/11/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Garren Joseph Sepede | 1262896 | 5 | 12/16/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Bowers Miller | 335752 | 1 | 10/06/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Diana Lee Shultz | 1268978 | 2 | 09/13/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ommund Danny Skaar | 823376 | 2 | 08/16/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Seaford Derway | 844425 | 2 | 06/07/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Lynn Starbuck | 1735768 | 3 | 02/02/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |