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 |
|---|---|---|---|---|---|---|---|---|
| Daniel John Leonetti | 3162654 | 2 | 05/28/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tyler Edward Schultz | 5762290 | 1 | 05/28/2024 | Customer Dispute | Pending | $46,862.60 | $0.00 | See FINRA Report |
| William F Bauerband | 2213353 | 12 | 05/24/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michelle Ann MacIosek | 2859155 | 1 | 05/21/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kyle Dean Fink | 2365221 | 1 | 05/20/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Joseph Stossel | 1976055 | 1 | 05/17/2024 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| James Edward Anderson | 2369611 | 1 | 05/16/2024 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 05/15/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas L Popovec | 5705390 | 16 | 05/15/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walter Steven Less | 5191948 | 1 | 05/13/2024 | Customer Dispute | Settled | $254,048.00 | $0.00 | See FINRA Report |