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 |
|---|---|---|---|---|---|---|---|---|
| Bryce Austin Hamilton | 4296113 | 3 | 07/30/2024 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Patricia Alison Fleming | 1960175 | 1 | 07/30/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Victor Paul Raigoza | 2454098 | 2 | 07/30/2024 | Customer Dispute | Pending | $45,000.00 | $0.00 | See FINRA Report |
| James Lee Bruce | 2502123 | 4 | 07/29/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alexandra Marie Richey | 7494556 | 4 | 07/29/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Nesaraja Christopher | 5761273 | 2 | 07/26/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Catherine Ann Ford | 4531681 | 2 | 07/26/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Brandon John Flynn | 3111875 | 2 | 07/25/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew John Vanek | 3270671 | 1 | 07/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian Scott Lesley | 3090243 | 2 | 07/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |