CRD #8733 · FINRA BrokerCheck + SEC IAPD

LPL Enterprise, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, LPL Enterprise, LLC ranks #2,257 of 20,055 by disclosure count (most disclosures first). Among firms registered in SC, it ranks #2 of 15 on the same disclosure sort used on the state browse page. LPL Enterprise, LLC carries 3 BrokerCheck disclosures across 1,487 branch offices - light load for a national firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
1,487
branch offices
3
disclosures
#2,257 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 8733 LPL Enterprise, LLC

LPL Enterprise, LLC · Grade B · 3 disc · 0.00/office · National firm

  • CRD 8733
  • GRADE B
  • DISC 3
  • REG 3
  • ARB 0
  • CIV 0
  • BRANCH 1,487
  • PER-OFF 0.00
  • RANK #2,257 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: Farmers Financial Solutions, LLC (0.00 disc/office)

Farmers Financial Solut…0.00Allstate Financial Serv…0.00U.S. Bancorp Advisors, LLC0.00LPL Enterprise, LLC (this)0.00
Disclosures per office among national firm peers (lower is cleaner)

LPL Enterprise, LLC ranks #2,257 of 20,055 by disclosure count among graded broker-dealers; light load at 0.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

1,487 offices

FINRA: Large firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

3 actions

100% of all disclosures

Disclosures per office

0.00 per office

3 ÷ 1,487 offices

LPL Enterprise, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 99% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 3
Arbitrations 0
Civil Events 0
Total 3

Counts for LPL Enterprise, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 3 Arbitration 0 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Fort Mill, SC, 29715
Formed
05/25/2023
State of Formation
Delaware
CRD Number
8733
SEC Number
26037

Lower disclosures per office

LPL Enterprise, LLC in the heavier-disclosure third

LPL Enterprise, LLC carries 3 BrokerCheck disclosures across 1,487 branch offices - a heavier-third raw book among graded firms (#2,257 of 20,055). Regulator-initiated events are 100% of the book (3 regulatory / 0 arbitration / 0 civil).

LPL Enterprise, LLC runs 0.00 disclosures per branch office (cleaner than 100% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of LPL Enterprise, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

South Carolina cohort · 0.15× state average

LPL Enterprise, LLC sits below the South Carolina disclosure average

LPL Enterprise, LLC reports 3 BrokerCheck disclosures, 0.15× the South Carolina average of 19.7, lighter than most of the 15 graded firms filed there.

In South Carolina, 10 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the South Carolina state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does LPL Enterprise, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, LPL Enterprise, LLC ranks #2,257 of 20,055 by disclosure count (most disclosures first). Among firms registered in SC, it ranks #2 of 15 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for LPL Enterprise, LLC?
A grade of B reflects LPL Enterprise, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 3 total disclosures across 1,487 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does LPL Enterprise, LLC have?
LPL Enterprise, LLC has 3 total FINRA disclosures, including 3 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is LPL Enterprise, LLC?
LPL Enterprise, LLC operates 1,487 branch offices and is classified by FINRA as a large firm, registered in SC (National firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify LPL Enterprise, LLC's disciplinary record?
You can verify LPL Enterprise, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 8733. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid LPL Enterprise, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. LPL Enterprise, LLC carries 3 disclosures across 1,487 branch offices (about 0.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for LPL Enterprise, LLC, both outside SC so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.