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 |
|---|---|---|---|---|---|---|---|---|
| Carolyn Pozzi | 1083038 | 3 | 06/12/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shannon Dwain Moore | 2934682 | 2 | 06/12/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Hsiao-Chuan Chang | 4336340 | 1 | 06/11/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gabriella Sarai Aguilar | 6865737 | 1 | 06/11/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tyler Ray Lewis | 7362484 | 2 | 06/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bryce Austin Hamilton | 4296113 | 3 | 06/04/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David John Segarra | 4482059 | 3 | 06/03/2024 | Customer Dispute | Pending | $80,000.00 | $0.00 | See FINRA Report |
| Esau Cruz Quiroz | 7409378 | 5 | 05/31/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Alexander Sullivan | 6348034 | 9 | 05/30/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael John Manginelli | 6135003 | 2 | 05/29/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |