LPL FINANCIAL LLC
15 disclosures across 7 jurisdictions · 2021-09-30 → 2026-09-14. Severity score: 17 across 9 incidents (max per incident: crit=4 high=3 med=2 low=1; per-filing sum: 28).
Scope. This scorecard covers filings naming this entity record. Related records are scored separately: LPL HOLDINGS, INC. (parent record).
1825-day window · this entity as victim
apparent from filed dates · see trail
of 6 clock verdicts
max per incident · per-filing sum: 28
Sector context · Finance
- This entity:
- 16.7% on-time (n=6 clock verdicts)
- Sector cohort:
- 25.6% on-time (n=2,333 clock verdicts)
Cohort: 6,596 filings from 2,126 organisations carrying NAICS 52 on the filing itself, same 1825-day window; merged entities counted once. Both percentages count clock verdicts through the same registry — a filing with no evaluable clock is excluded from both rather than counted as on time.
Compliance timing by regulator
Notice timing computed from the dates recorded in each filing — an indicative estimate from an automated clock, not a legal determination. Click any chip for this entity's source filings.
- Maine0 on-time · 2 review · 1 late · 3
- Washington0 on-time · 1 review · 0 late · 1
- Massachusetts0 on-time · 1 late · 2 informational · 3
- Oregon1 on-time · 0 late · 1
- Leak gap10 leak preceded filing
Discovery dates behind these clocks: 4 ag web form · 5 letter-grounded · 2 unattributed. Only a date the notification letter itself states is fully defensible; a date derived from another field makes the verdict indicative.
Regulators holding filings from this entity
Every regulator that has received a visible filing naming this entity, all time — filings first.
- Massachusetts State AG (41)
- New Hampshire State AG (19)
- California State AG (2)
- Maine State AG (2)
- Montana State AG (2)
- Oregon State AG (2)
- Washington State AG (2)
- Nebraska State AG (1)
- South Carolina State AG (1)
- Vermont State AG (1)
SEC-registered (CIK 0001397911). SEC cyber filings on record in this corpus: none. Materiality under Item 1.05 is the registrant's own determination; the absence of a filing is a fact about this corpus, not a finding about any obligation.
Breach History (5-Year Lookback)
Historical incident recurrence, cumulative exposure, and per-jurisdiction compliance record
within lookback window
late notice filings
median days between incidents
Per-jurisdiction compliance record
| Jurisdiction | On-time | Late | Rate |
|---|---|---|---|
| us-ma | 0 | 1 | 0% |
| us-me | 0 | 3 | 0% |
| us-ne | 0 | 0 | — |
| us-nh | 0 | 0 | — |
| us-or | 1 | 0 | 100% |
| us-vt | 0 | 0 | — |
| us-wa | 0 | 1 | 0% |
Cumulative data type exposure
Disclosure timeline
Most-recent 100 filings. Click a row to open the disclosure detail.
| Filed | Source | Jurisdiction | Severity | Affected | Clocks missed |
|---|---|---|---|---|---|
| 2026-09-14 | state_ag | us-vt | Medium | 1state | |
| 2026-09-01 | state_ag | us-ma | Medium | — | |
| 2026-09-01 | state_ag | us-ma | Medium | — | |
| 2026-07-06 | state_ag | us-nh | Medium | 2state | |
| 2026-05-20 | state_ag | us-nh | Medium | 1state | |
| 2026-04-27 | state_ag | us-nh | Medium | 4state | |
| 2026-04-22 | state_ag | us-ma | Low | — | MA AG >90d |
| 2026-04-22 | state_ag | us-me | Medium | 1.6K | ME AG >90dME resident >60d· discovery date: ag web form |
| 2025-12-26 | state_ag | us-ne | Medium | — | |
| 2025-12-26 | state_ag | us-me | Medium | 53 | ME AG >30d· discovery date: ag web form |
| 2024-09-24 | state_ag | us-ma | Medium | 1state | |
| 2022-09-09 | state_ag | us-ma | Low | 1state | |
| 2021-09-30 | state_ag | us-ma | Medium | 1state | |
| 2021-09-30 | state_ag | us-wa | Medium | 992state | WA AG >30d· discovery date: ag web form |
| 2021-09-30 | state_ag | us-or | Medium | 1.6K |