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 |
|---|---|---|---|---|---|---|---|---|
| Stuart Arthur Pearl | 1219352 | 2 | 11/27/2002 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David Theodore Demars | 2903749 | 2 | 09/13/2002 | Customer Dispute | Withdrawn | $28,346.20 | $0.00 | See FINRA Report |
| Ziad Ibrahim Alkhamis | 2164875 | 3 | 08/14/2002 | Customer Dispute | Withdrawn | $390,000.00 | $0.00 | See FINRA Report |
| Cecilia Beach Brown | 3126183 | 1 | 04/09/2002 | Customer Dispute | Withdrawn | $34,000.00 | $0.00 | See FINRA Report |
| David Martin Milligan | 1887965 | 1 | 03/01/2002 | Customer Dispute | Withdrawn | $28,907.00 | $0.00 | See FINRA Report |
| Timothy Mark Weishorn | 3247258 | 1 | 01/24/2002 | Customer Dispute | Withdrawn | $6,000.00 | $0.00 | See FINRA Report |
| Todd Kally Baird | 3002473 | 3 | 07/31/2001 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| James Allan Tesch | 2208095 | 4 | 07/31/2001 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Deborah Lee Danielson | 1063176 | 1 | 04/16/2001 | Customer Dispute | Withdrawn | $70,000.00 | $0.00 | See FINRA Report |
| Adam Jason Soloff | 2789183 | 1 | 06/12/2000 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |