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 |
|---|---|---|---|---|---|---|---|---|
| Charles Lawrence Fahy | 203808 | 2 | 02/16/1988 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Garren Joseph Sepede | 1262896 | 5 | 01/13/1988 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Louis Joseph D'Angelis | 845913 | 3 | 01/01/1988 | Customer Dispute | Settled | $164,000.00 | $0.00 | See FINRA Report |
| Clark Barlow Jolley | 260771 | 6 | 12/16/1987 | Customer Dispute | Settled | $142,000.00 | $0.00 | See FINRA Report |
| Gerald Allen English | 201380 | 5 | 07/28/1987 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Edward Myles Lynch | 1058005 | 5 | 06/20/1987 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Norman Young | 820109 | 1 | 11/05/1986 | Customer Dispute | Settled | $14,626.50 | $0.00 | See FINRA Report |
| Phylyp Arthur Wagner | 735608 | 2 | 09/16/1986 | Customer Dispute | Settled | $66,420.00 | $0.00 | See FINRA Report |
| Clark Barlow Jolley | 260771 | 6 | 07/01/1986 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| David Vaughn Sommers | 853609 | 1 | 03/01/1986 | Customer Dispute | Settled | $56,000.00 | $0.00 | See FINRA Report |