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 |
|---|---|---|---|---|---|---|---|---|
| Travis Jeffrey Makings | 3085351 | 1 | 01/02/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David James Schelhorn | 5398951 | 1 | 11/19/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Q Adamson | 4149143 | 2 | 11/05/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Phillip Burton | 2364201 | 3 | 10/23/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Ransom Brown | 1147102 | 1 | 10/13/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Scott Caprai | 3145115 | 2 | 09/10/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kirk Anthony Sempsrott | 5455535 | 3 | 08/30/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Roasa | 5720210 | 4 | 08/12/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Roasa | 5720210 | 4 | 08/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Edward Davidson | 5445540 | 4 | 07/11/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |