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 |
|---|---|---|---|---|---|---|---|---|
| Debora Lee Wood | 2425925 | 1 | 05/08/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Louis James Knox | 1035537 | 1 | 04/15/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Allen Thompson | 1175981 | 1 | 11/06/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Stephen Caplan | 838674 | 6 | 07/24/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Linda Marie Mauro | 1020555 | 1 | 06/09/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Stephen Caplan | 838674 | 6 | 04/20/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Arthur Wright Davis | 2049879 | 1 | 03/05/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Cutler Hamilton | 728838 | 2 | 03/04/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Bernard Nourse | 1962824 | 4 | 11/19/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Paul Boero | 862282 | 1 | 11/01/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |