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 |
|---|---|---|---|---|---|---|---|---|
| Brad Joseph Stainsby | 6534062 | 1 | 02/06/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Molly Theresa Murphy Lafleche | 5070663 | 1 | 11/14/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Chad Andrew Perkins | 4929849 | 2 | 10/08/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua John Sands | 5517842 | 1 | 09/26/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas W Gahler | 5077166 | 2 | 08/16/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel P Stewart | 2892000 | 2 | 08/02/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David M Rice | 2971029 | 2 | 02/07/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Lodge Farmer | 5354041 | 1 | 11/15/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Colin Turner | 4007735 | 1 | 09/28/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Dean Clark | 1086724 | 3 | 09/10/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |