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 |
|---|---|---|---|---|---|---|---|---|
| Jason Keith Norton | 4776196 | 3 | 07/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Heather Kathleen Vondra | 4669520 | 1 | 07/01/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas L Popovec | 5705390 | 16 | 06/28/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Alexander Sullivan | 6348034 | 9 | 06/25/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Dibernardo | 2603040 | 2 | 06/24/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edward Baroncini | 3043354 | 11 | 06/20/2024 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Travis Matthew James | 4297837 | 1 | 06/18/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Ashley Armstrong Thompson | 5208583 | 1 | 06/18/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Ross Beardslee Levine | 4285637 | 1 | 06/17/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Yan Sun | 5497831 | 1 | 06/13/2024 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |