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 |
|---|---|---|---|---|---|---|---|---|
| Paul Alan Woita | 1372854 | 1 | 05/17/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Patrick Bortolussi | 4338830 | 3 | 02/01/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel William Leveroni | 838873 | 1 | 01/01/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| 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 | 3 | 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 |
| Ronald Alvin Icabone | 1097766 | 4 | 07/07/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Carl Westcott | 1007101 | 3 | 03/08/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Thomas Mougey | 1157582 | 2 | 12/03/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |