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 |
|---|---|---|---|---|---|---|---|---|
| Taylor C Parkin | 5310946 | 2 | 03/27/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jon David McKnight | 2191107 | 3 | 12/31/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Derek Green | 2313496 | 3 | 12/18/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| D. Brent Fennema | 3031864 | 2 | 12/17/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Darrel George Young | 2045692 | 4 | 09/10/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Alan Register | 2270475 | 3 | 09/06/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Matthew Collins | 2426858 | 2 | 09/06/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Pankaj V Udeshi | 1523083 | 4 | 08/22/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daryl Winfield Riley | 1190212 | 3 | 06/20/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Gene Schuelke | 1112588 | 2 | 06/04/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |