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 |
|---|---|---|---|---|---|---|---|---|
| John Wesley Honeywell | 2201764 | 2 | 11/13/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick William Shaughnessy | 1091223 | 2 | 10/15/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Carl Westcott | 1007101 | 2 | 08/29/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Ray Valenzuela | 710881 | 1 | 07/22/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Eugene McGlamery | 2259365 | 1 | 05/01/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Carl Westcott | 1007101 | 2 | 03/08/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey S Gilman | 840052 | 2 | 12/01/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl John Cerruti | 1146242 | 5 | 09/15/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl John Cerruti | 1146242 | 5 | 09/08/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ivan David Johnson | 4852645 | 2 | 08/20/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |