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 |
|---|---|---|---|---|---|---|---|---|
| Mark David Kemp | 1932371 | 1 | 08/19/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Edward Weinshenker | 461997 | 2 | 06/01/1996 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Robert Gerard Hermansen | 2108944 | 3 | 05/06/1996 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Bryan Kirby Ross | 1085707 | 3 | 05/03/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Howard Powers | 1086958 | 1 | 04/26/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Randall Ernest Banta | 1001090 | 2 | 04/26/1996 | Customer Dispute | Settled | $12,774.70 | $0.00 | See FINRA Report |
| Sandro Elio Palmerini | 1914998 | 1 | 04/23/1996 | Customer Dispute | Settled | $12,607.00 | $0.00 | See FINRA Report |
| Robert James Gunderson | 1284025 | 1 | 04/22/1996 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Francis Barry Edick | 1570075 | 2 | 04/10/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Frederick Lim | 1295868 | 7 | 04/05/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |