CRD #6413 · FINRA BrokerCheck + SEC IAPD

LPL Financial LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, LPL Financial LLC ranks #17 of 20,055 by disclosure count (most disclosures first). Among firms registered in SC, it ranks #1 of 15 on the same disclosure sort used on the state browse page. LPL Financial LLC carries 289 BrokerCheck disclosures across 32,976 branch offices - light load for a national firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
32,976
branch offices
289
disclosures
#17 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 6413 LPL Financial LLC

LPL Financial LLC · Grade B · 289 disc · 0.01/office · National firm

  • CRD 6413
  • GRADE B
  • DISC 289
  • REG 231
  • ARB 58
  • CIV 0
  • BRANCH 32,976
  • PER-OFF 0.01
  • RANK #17 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: Cetera Wealth Services, LLC (0.01 disc/office)

Cetera Wealth Services,…0.01Nylife Securities LLC0.01Northwestern Mutual Inv…0.01LPL Financial LLC (this)0.01
Disclosures per office among national firm peers (lower is cleaner)

LPL Financial LLC ranks #17 of 20,055 by disclosure count among graded broker-dealers; light load at 0.01 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

32,976 offices

FINRA: Large firm

Total disclosures

289 events

On FINRA BrokerCheck

Regulatory events

231 actions

80% of all disclosures

Disclosures per office

0.01 per office

289 ÷ 32,976 offices

LPL Financial 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 98% 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 231
Arbitrations 58
Civil Events 0
Total 289

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

Disclosure category share

Regulatory 231 Arbitration 58 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Fort Mill, SC, 29715
Formed
11/15/2010
State of Formation
California
CRD Number
6413
SEC Number
17668

Lower disclosures per office

LPL Financial LLC in the heavier-disclosure third

LPL Financial LLC carries 289 BrokerCheck disclosures across 32,976 branch offices - a heavier-third raw book among graded firms (#17 of 20,055). Regulator-initiated events are 80% of the book (231 regulatory / 58 arbitration / 0 civil).

LPL Financial LLC runs 0.01 disclosures per branch office (cleaner than 98% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

South Carolina cohort · 15× state average

LPL Financial LLC sits above the South Carolina disclosure average

LPL Financial LLC reports 289 BrokerCheck disclosures, 15× the South Carolina average of 19.7 across 15 graded firms with a principal-office state on file.

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 Financial LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, LPL Financial LLC ranks #17 of 20,055 by disclosure count (most disclosures first). Among firms registered in SC, it ranks #1 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 Financial LLC?
A grade of B reflects LPL Financial LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 289 total disclosures across 32,976 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does LPL Financial LLC have?
LPL Financial LLC has 289 total FINRA disclosures, including 231 regulatory events, 58 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is LPL Financial LLC?
LPL Financial LLC operates 32,976 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 Financial LLC's disciplinary record?
You can verify LPL Financial LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 6413. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). LPL Financial LLC's 289 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid LPL Financial 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 Financial LLC carries 289 disclosures across 32,976 branch offices (about 0.01 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 Financial 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.