HackingFinancial ServicesFinanceStolen CredentialsCustomer Data InvolvedFinancial accountHealth (basic)Identity (basic)Government IDPHIMediumContained

LPL FINANCIAL LLC

bd_ba0fc1012b4cb1d2 · schema v1 · pii pii-v1

Severity

Medium

Discovered

Aug 5, 2021

Filed

Sep 30, 2021

To disclose

8 weeks

Affected

992state residents only

Linked

3 filings

Confidence

70%

Full breach record for LPL FINANCIAL LLC →37 incidents on file

LPL Financial LLC reported unauthorized access to an advisor's email account between July 26-28, 2021, discovered on August 5, 2021. The incident affected 992 Washington residents, exposing PII including SSNs, driver's licenses, financial account numbers, and medical information. LPL notified law enforcement, secured the account, and offered 24 months of credit monitoring.

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Washington clock⏱ WA AG >30d8 weeks discovery → filing

⚠ AG web formThe discovery date came from the AG web-form field, which is systematically later than the detection date stated in the letter. Treat the clock as indicative.

Incident timeline

undetected · 10 days

discovery → filing · 8 weeks / 56 days

Jul 26, 2021

Begins

Aug 5, 2021

Discovered

Sep 30, 2021

Filed

vs. sector median

on median

This filing is one of 3 about the same incident.View merged incident

Linked disclosures

Why this link?

Regulatory filings (2) · sorted by filing gap

Massachusetts State AGbd_7fefa71777c2cef32021-09-30Verified
Oregon State AGbd_f3a524b0b39815842021-09-30Verified

Name: LPL FINANCIAL LLC
norm: lpl financial
Domain: lplfinancial.com

Name: LPL FINANCIAL LLC
norm: lpl financial
Domain: lplfinancial.com
Industry: Financial Servicesllm

Discovered: Aug 5, 2021
Breach occurred: Jul 26, 2021 – Jul 28, 2021
Undetected for: 10 daysoccurrence → discovery
Materiality determined: —
Notification sent: Sep 30, 2021
Affected individuals: 992state-resident count only
Data types: Identity (basic)Government IDFinancial accountHealth (basic)
Data elements: NameSocial Security numberFinancial account numberHealth insurance IDMedical informationDate of birth
WA-stated cause: Unauthorized Access
WA-stated duration: lifecycle 1-99dexposure 1-99d
WA-stated discovery: Found after the fact
Attack vector: Unauthorized Access
MITRE ATT&CK: T1078 Valid AccountsT1114 Email Collection
Threat actor: External
Regulator citations: Notified Washington State Office of the Attorney General
Initial access: valid_credentials

During the incident: Took steps to secure the account
Launched an investigation
Notified law enforcement
Implemented additional security measures
Conducted a robust review of the contents of the accessed account
Offering 24 months of complimentary credit monitoring and fraud protection services from Experian
Provided additional training to its Service Center representatives
Changes made: Implemented additional security measures designed to enhance the security of advisors’ email accounts
Implemented fraud alerts on LPL accounts of the clients whose information was involved
Provided additional training to its Service Center representatives to help prevent a similar incident from occurring in the future
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 8 weeks(56 days from discovery to filing)
Compliance flags: WA AG >30d
Discovery-date grounding: AG web formThe discovery date came from the AG web-form field, which is systematically later than the detection date stated in the letter. Treat the clock as indicative.

Status: No extraction artifact recorded for this disclosure.

Filing propagation · 3 filings · 3 states

View merged incident ↗

Massachusetts State AGSep 30 · first

Oregon State AGSep 30 · first

Washington State AGSep 30 · first · this page

Evidence ladder

Leak-site claim

Attacker assertion only. Establishes: claim date, group, alleged victim.

Press / market report

Unlocks: incident narrative, operational impact. Still no compliance clock.

State AG / regulator filingThis record

Unlocks: discovery date, data types, affected count, compliance clock.

SEC 8-K / victim statement

Unlocks: materiality, stated response, full audit trail. Ceiling removed.

Source URL: https://agportal-s3bucket.s3.amazonaws.com/databreach/BreachM11099.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Sep 30, 2021
Raw hash: 0863369e83fd4907734a6a44d613f6b222c624df94956ba4bbb3b706e3525781

Linked disclosures

Regulatory filings (2) · sorted by filing gap

Reporting entityLPL FINANCIAL LLC

Victim entityLPL FINANCIAL LLC

Incidentdiscovered Aug 5, 2021

Stated responseTook steps to secure the account

ComplianceWA AG >30d

Extraction provenanceno artifact recorded

Source provenanceagportal-s3bucket.s3.amazonaws.com