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 |
|---|---|---|---|---|---|---|---|---|
| Garren Joseph Sepede | 1262896 | 5 | 04/02/1996 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Robert Foster Kransberger | 1623553 | 2 | 03/01/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Henry Snyder | 1891755 | 1 | 03/01/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Charles Spence | 1721533 | 3 | 02/15/1996 | Customer Dispute | Settled | $22,969.00 | $0.00 | See FINRA Report |
| Susan Beth Allen | 1000420 | 2 | 02/15/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Frederick Lim | 1295868 | 7 | 02/12/1996 | Customer Dispute | Settled | $38,771.30 | $0.00 | See FINRA Report |
| John Mark Darden Baird | 2224932 | 2 | 02/12/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Edwin Fairchild | 849127 | 3 | 02/02/1996 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Lawrence George Catallo | 868492 | 6 | 01/25/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Michael Dunnigan | 1270531 | 7 | 01/04/1996 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |