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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Paul Keller | 3081819 | 2 | 04/30/2014 | Customer Dispute | Withdrawn | $18,227.00 | $0.00 | See FINRA Report |
| Jeffery Alex McKannay | 1558453 | 4 | 02/11/2014 | Customer Dispute | Withdrawn | $275,313.00 | $0.00 | See FINRA Report |
| Sandra Young Mee Cho | 4593652 | 2 | 12/19/2013 | Customer Dispute | Withdrawn | $140,000.00 | $0.00 | See FINRA Report |
| Brendan Flynn McNamara | 4792767 | 2 | 07/23/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Randall Caleb Staudt | 5530785 | 1 | 05/23/2013 | Customer Dispute | Withdrawn | $400,000.00 | $0.00 | See FINRA Report |
| Christopher Charles Hass | 2657637 | 3 | 03/06/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Andre Aflalo | 4584723 | 3 | 02/04/2013 | Customer Dispute | Withdrawn | $200,000.00 | $0.00 | See FINRA Report |
| Anthony Franklin Artero | 4401581 | 3 | 11/21/2012 | Customer Dispute | Withdrawn | $400,000.00 | $0.00 | See FINRA Report |
| Linda Ann Read | 2021360 | 1 | 05/25/2012 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Andre Aflalo | 4584723 | 3 | 04/04/2012 | Customer Dispute | Withdrawn | $1,000,000.00 | $0.00 | See FINRA Report |