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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Raymond Stelnick | 1184337 | 1 | 01/30/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Charles Steger | 849032 | 4 | 10/22/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Wayne Alan Russo | 870130 | 2 | 06/05/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Clark Barlow Jolley | 260771 | 6 | 05/29/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lewis Marlin Rowe | 1349573 | 1 | 02/15/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Roy Russo | 407792 | 2 | 06/29/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Kim Freel | 1345623 | 2 | 04/17/1984 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robin Christopher Ballard | 729773 | 1 | 08/13/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Joseph Root | 403716 | 2 | 05/24/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Albert Sgariglia | 1445310 | 3 | 03/24/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |