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 |
|---|---|---|---|---|---|---|---|---|
| Steven Albert Dean | 2759263 | 2 | 07/09/2020 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Khary Andre Miller | 4634131 | 1 | 07/08/2020 | Customer Dispute | Settled | $21,420.00 | $0.00 | See FINRA Report |
| Samuel Izaguirre | 4835113 | 1 | 07/07/2020 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Evan Lunsford | 5756621 | 3 | 07/06/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Aaron Justin Gore | 3251335 | 1 | 07/02/2020 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Frederick James Guist | 5308813 | 1 | 07/01/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Ian Stuart Baker | 4018036 | 1 | 06/16/2020 | Customer Dispute | Settled | $10,966.90 | $0.00 | See FINRA Report |
| Katherine Jo Petrelli | 4364419 | 1 | 06/11/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jonathan David Cummings | 2715296 | 4 | 06/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tracy Lewis Randle | 2089183 | 1 | 06/05/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |