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 |
|---|---|---|---|---|---|---|---|---|
| Ricky Joseph Ferrara | 2453547 | 1 | 09/02/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kimberly Ann Kennedy | 1487140 | 2 | 08/24/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Marty Gore Dennis | 3052556 | 1 | 08/16/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Frederick Mark Atiyeh | 872352 | 4 | 08/09/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert J Paolini | 4284278 | 1 | 07/29/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Joel Floyd Woods | 1470780 | 4 | 07/26/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| William Edward Knudsen | 3029924 | 3 | 07/20/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Patrick Todd Mead | 1959855 | 2 | 07/15/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Daniel Lee Jones | 2814273 | 1 | 07/13/2021 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Christopher Brent Chancellor | 6223895 | 1 | 07/01/2021 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |