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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Jon Sartorius | 1056097 | 2 | 03/15/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ross Stuart Hunt | 1059298 | 2 | 02/19/1991 | Customer Dispute | Settled | $960,000.00 | $0.00 | See FINRA Report |
| Robert James Baptist | 1576889 | 6 | 12/13/1990 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Peter Navaretta | 1209313 | 2 | 09/12/1990 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Mark Dean Swanson | 1353745 | 2 | 08/16/1990 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Steven Michael Booren | 857555 | 2 | 05/30/1990 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Charles Robert Elhoff | 76936 | 2 | 05/24/1990 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Gary Lee Sackman | 1133732 | 4 | 08/07/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Dewayne Brooks | 1035462 | 1 | 08/03/1989 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Theodore Thiro | 1252057 | 3 | 04/10/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |