LPL FINANCIAL LLC
7 disclosures across 4 jurisdictions · 2021-09-30 → 2026-07-06. Severity score: 7 across 4 incidents (max per incident: crit=4 high=3 med=2 low=1; per-filing sum: 11).
1825-day window · this entity as victim
apparent from filed dates · see trail
below 80%
max per incident · per-filing sum: 11
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 the source filings.
- Maine0 on-time · 3 review · 1 late · 4
- Washington0 on-time · 1 review · 0 late · 1
- Oregon1 on-time · 0 late · 1
- Leak gap5 leak preceded filing
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-me | 0 | 4 | 0% |
| us-nh | 0 | 0 | —% |
| us-or | 1 | 0 | 100% |
| 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 |
|---|---|---|---|---|---|
| 2026-07-06 | state_ag | us-nh | Medium | 2 | |
| 2026-05-20 | state_ag | us-nh | Medium | 1 | |
| 2026-04-27 | state_ag | us-nh | Medium | 4 | |
| 2026-04-22 | state_ag | us-me | Low | 2 | ME AG >90dME resident >60d |
| 2025-12-26 | state_ag | us-me | Low | 1 | ME AG >30dME resident >60d |
| 2021-09-30 | state_ag | us-wa | Low | 992 | WA AG >30d |
| 2021-09-30 | state_ag | us-or | Medium | 1.6K |