LPL Financial
Company Details
Linkedin ID:
lpl-financial
Website:
Employees number:
14,111
Number of followers:
154,744
NAICS:
52
Industry Type:
Homepage:
lpl.com
IP Addresses:
0
Company ID:
LPL_1620284
Scan Status:
In-progress
LPL Financial Company CyberSecurity Posture
lpl.com
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 29,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
LPL Financial A.I CyberSecurity Scoring
LPL Financial Risk Score (AI oriented)Between 750 and 799
LPL Financial
Updated:
- Powered by our proprietary A.I cyber incident model
- Insurance preferes TPRM score to calculate premium
LPL Financial Global Score (TPRM)XXXX
LPL Financial
- Instant access to detailed risk factors
- Benchmark vs. industry & size peers
- Vulnerabilities
- Findings
LPL Financial Company CyberSecurity News & History
Past Incidents
4
Attack Types
1
LPL Financial
Breach
Rankiteo Explanation
Attack limited on finance or reputation
Description: The Massachusetts Office of Consumer Affairs and Business Regulation reported a data breach involving LPL Financial on September 23, 2011. The breach affected 1 resident and involved paper records, specifically compromising account numbers.
LPL Financial LLC
Breach
Rankiteo Explanation
Attack limited on finance or reputation
Description: The California Office of the Attorney General reported a data breach involving LPL Financial LLC on November 17, 2018. The breach occurred on November 1, 2018, and was caused by unauthorized access to a user's account of their service provider, Capital Forensics, potentially exposing personal information including names, account numbers, and Social Security Numbers.
LPL Financial LLC
Breach
Rankiteo Explanation
Attack with significant impact with internal employee data leaks
Description: The California Office of the Attorney General reported a data breach involving LPL Financial on February 29, 2012. The breach occurred on February 6, 2012, due to the theft of an employee's desktop computer, potentially exposing personal information including names, Social Security numbers, and financial information of affected individuals; the number of affected individuals is unknown.
LPL Financial LLC
Breach
Rankiteo Explanation
Attack with significant impact with customers data leaks
Description: The Washington State Office of the Attorney General disclosed a data breach involving LPL Financial LLC, where an unauthorized party gained access to an advisor's email account between **July 26 and July 28, 2021**. The incident, reported on **September 30, 2021**, impacted **992 Washington residents**, exposing highly sensitive personal information. Compromised data included **names, Social Security Numbers (SSNs), financial and banking details, health insurance information, and medical records**. The breach stemmed from a targeted compromise of an employee’s email account, likely through phishing or credential theft, enabling attackers to exfiltrate confidential client data. Given the nature of the exposed information—particularly SSNs and financial records—the incident poses severe risks of **identity theft, financial fraud, and long-term reputational harm** to both the affected individuals and LPL Financial. The breach underscores vulnerabilities in email security protocols and the critical need for robust access controls, especially in sectors handling sensitive client data. While the exact motive (e.g., financial gain, espionage) remains undisclosed, the scale and sensitivity of the leaked data classify this as a high-severity incident with potential regulatory and legal repercussions under data protection laws like **HIPAA (for medical data) and state breach notification statutes**.
LPL Financial Company Scoring based on AI Models
Cyber Incidents Likelihood 3 - 6 - 9 months
A.I Risk Score Likelihood 3 - 6 - 9 months
Underwriter Stats for LPL Financial
Incidents vs Financial Services Industry Average (This Year)
No incidents recorded for LPL Financial in 2025.
Incidents vs All-Companies Average (This Year)
No incidents recorded for LPL Financial in 2025.
Incident Types LPL Financial vs Financial Services Industry Avg (This Year)
No incidents recorded for LPL Financial in 2025.
Incident History — LPL Financial (X = Date, Y = Severity)
LPL Financial cyber incidents detection timeline including parent company and subsidiaries
LPL Financial Company Subsidiaries
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 29,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
Loading...
LPL Financial Similar Companies
Credicorp
Somos el grupo financiero líder en el Perú con una vasta experiencia en el mercado peruano. Contamos con una sólida plataforma de Banca Comercial reforzada por una importante presencia en Banca de Inversión en Latinoamérica destinada a desarrollar el potencial de la región y acompañar a nuestros cli
We help make money work for the world — managing it, moving it and keeping it safe. As a leading global financial services company at the center of the world’s financial system, we touch nearly 20% of the world’s investable assets. Today we help over 90% of Fortune 100 companies and nearly all the t
Barclays Investment Bank
Barclays Investment Bank deploys financial solutions to help our clients with their funding, financing, strategic and risk management needs across sectors, markets and economies. The Investment Bank is comprised of the Investment Banking, International Corporate Banking, Global Markets and Researc
Tata Capital Limited is a subsidiary of Tata Sons Limited. The Company is registered with the Reserve Bank of India as a Core Investment Company and offers through itself and its subsidiaries fund and fee-based financial services to its customers, under the Tata Capital brand. As a trusted and custo
Fannie Mae
Fannie Mae creates opportunities for people to buy, refinance, or rent a home. We are a leading source of mortgage financing in all markets and at all times. We ensure the availability of affordable mortgage loans. The financing solutions we develop make homeownership and workforce rental housing a
Moody's Analytics
In an era where risks are multiplying and increasingly interconnected, Moody’s helps organizations make sense of the complexities. By combining data, intelligence, and risk expertise with groundbreaking technologies and a seamless customer experience, we deliver relevant insights on interconnected r
Discover
Discover® is now part of Capital One. Together, we’ll continue to deliver exceptional financial products and experiences, drive innovation, and serve customers. Find the latest updates at https://capitalonediscover.com. Discover is one of the most recognized brands in the U.S. with the Discover® ca
Deutsche Bank is the leading German bank with strong European roots and a global network. The bank focuses on its strengths in a Corporate Bank newly created in 2019, a leading Private Bank, a focused investment bank and in asset management. We provide financial services to companies, governments,
BlackRock is a global asset manager and technology provider dedicated to helping more and more people experience financial well-being. We help millions of people invest to build savings that serve them throughout their lives. We always start with our clients’ needs and look to offer them more qua
.png)
LPL Financial CyberSecurity News
November 26, 2025 08:11 AM
AlphaCore Capital LLC Purchases New Position in Amplify Cybersecurity ETF $HACK
AlphaCore Capital LLC purchased a new stake in Amplify Cybersecurity ETF (NYSEARCA:HACK – Free Report) in the second quarter, according to...
November 19, 2025 07:19 AM
WisdomTree Cybersecurity Fund (NASDAQ:WCBR) Shares Down 0.9% - What's Next?
WisdomTree Cybersecurity Fund (NASDAQ:WCBR) Stock Price Down 0.9% - Time to Sell?
November 14, 2025 09:01 AM
Accredited Investors Inc. Buys New Position in First Trust Nasdaq Cybersecurity ETF $CIBR
Read Accredited Investors Inc. Buys New Position in First Trust Nasdaq Cybersecurity ETF $CIBR at Defense World.
November 10, 2025 08:00 AM
LPL’s growth strategy; Edward Jones’ new ownership plans; Merrill’s lofty asset targets
November 03, 2025 08:00 AM
LPL ‘on track’ to hit asset retention target; Kitces on AI tools; advisors’ tech wishlist
October 23, 2025 07:00 AM
Shawn Gentle of Gentle Family Wealth Partners Joins LPL Financial’s Broker-Dealer and RIA Platform
Shawn Gentle joins LPL Financial, bringing 37 years of experience and managing approximately $280 mi.
October 23, 2025 07:00 AM
LPL Financial Welcomes Gentle Family Wealth Partners
SAN DIEGO, Oct. 23, 2025 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that Shawn Gentle, AIF® of Gentle Family Wealth Partners has...
October 23, 2025 07:00 AM
Envestnet Portfolio Solutions Inc. Sells 357 Shares of Amplify Cybersecurity ETF $HACK
Read Envestnet Portfolio Solutions Inc. Sells 357 Shares of Amplify Cybersecurity ETF $HACK at Defense World.
July 03, 2025 07:00 AM
Judges dismiss fiduciary angle in LPL, Wells lawsuits; how to boost wealth for Black Americans; tech for RIA cybersecurity
Frequently Asked Questions
Explore insights on cybersecurity incidents, risk posture, and Rankiteo's assessments.
LPL Financial CyberSecurity History Information
Official Website of LPL Financial
The official website of LPL Financial is https://www.lpl.com/.
LPL Financial’s AI-Generated Cybersecurity Score
According to Rankiteo, LPL Financial’s AI-generated cybersecurity score is 770, reflecting their Fair security posture.
How many security badges does LPL Financial’ have ?
According to Rankiteo, LPL Financial currently holds 0 security badges, indicating that no recognized compliance certifications are currently verified for the organization.
Does LPL Financial have SOC 2 Type 1 certification ?
According to Rankiteo, LPL Financial is not certified under SOC 2 Type 1.
Does LPL Financial have SOC 2 Type 2 certification ?
According to Rankiteo, LPL Financial does not hold a SOC 2 Type 2 certification.
Does LPL Financial comply with GDPR ?
According to Rankiteo, LPL Financial is not listed as GDPR compliant.
Does LPL Financial have PCI DSS certification ?
According to Rankiteo, LPL Financial does not currently maintain PCI DSS compliance.
Does LPL Financial comply with HIPAA ?
According to Rankiteo, LPL Financial is not compliant with HIPAA regulations.
Does LPL Financial have ISO 27001 certification ?
According to Rankiteo,LPL Financial is not certified under ISO 27001, indicating the absence of a formally recognized information security management framework.
Industry Classification of LPL Financial
LPL Financial operates primarily in the Financial Services industry.
Number of Employees at LPL Financial
LPL Financial employs approximately 14,111 people worldwide.
Subsidiaries Owned by LPL Financial
LPL Financial presently has no subsidiaries across any sectors.
LPL Financial’s LinkedIn Followers
LPL Financial’s official LinkedIn profile has approximately 154,744 followers.
NAICS Classification of LPL Financial
LPL Financial is classified under the NAICS code 52, which corresponds to Finance and Insurance.
LPL Financial’s Presence on Crunchbase
No, LPL Financial does not have a profile on Crunchbase.
LPL Financial’s Presence on LinkedIn
Yes, LPL Financial maintains an official LinkedIn profile, which is actively utilized for branding and talent engagement, which can be accessed here: https://www.linkedin.com/company/lpl-financial.
Cybersecurity Incidents Involving LPL Financial
As of December 11, 2025, Rankiteo reports that LPL Financial has experienced 4 cybersecurity incidents.
Number of Peer and Competitor Companies
LPL Financial has an estimated 30,346 peer or competitor companies worldwide.
What types of cybersecurity incidents have occurred at LPL Financial ?
Incident Types: The types of cybersecurity incidents that have occurred include Breach.
How does LPL Financial detect and respond to cybersecurity incidents ?
Detection and Response: The company detects and responds to cybersecurity incidents through an communication strategy with public disclosure via washington state attorney general..
Incident Details
Can you provide details on each incident ?
Title: Data Breach at LPL Financial
Description: The Massachusetts Office of Consumer Affairs and Business Regulation reported a data breach involving LPL Financial on September 23, 2011. The breach affected 1 resident and involved paper records, specifically compromising account numbers.
Date Detected: 2011-09-23
Date Publicly Disclosed: 2011-09-23
Type: Data Breach
Title: Data Breach at LPL Financial LLC
Description: The California Office of the Attorney General reported a data breach involving LPL Financial LLC on November 17, 2018. The breach occurred on November 1, 2018, and was caused by unauthorized access to a user's account of their service provider, Capital Forensics, potentially exposing personal information including names, account numbers, and Social Security Numbers.
Date Detected: 2018-11-01
Date Publicly Disclosed: 2018-11-17
Type: Data Breach
Attack Vector: Unauthorized Access
Vulnerability Exploited: User Account
Title: Data Breach at LPL Financial
Description: The California Office of the Attorney General reported a data breach involving LPL Financial on February 29, 2012. The breach occurred on February 6, 2012, due to the theft of an employee's desktop computer, potentially exposing personal information including names, Social Security numbers, and financial information of affected individuals; the number of affected individuals is unknown.
Date Detected: 2012-02-06
Date Publicly Disclosed: 2012-02-29
Type: Data Breach
Attack Vector: Theft of Employee's Desktop Computer
Title: LPL Financial LLC Data Breach (2021)
Description: The Washington State Office of the Attorney General reported a data breach by LPL Financial LLC on September 30, 2021, involving unauthorized access to an advisor's email account from July 26 to July 28, 2021. The breach affected 992 Washington residents, potentially exposing several types of personal information including names, Social Security Numbers, financial and banking information, health insurance information, and medical information.
Date Detected: 2021-07-28
Date Publicly Disclosed: 2021-09-30
Type: Data Breach
Attack Vector: Unauthorized Email Access
What are the most common types of attacks the company has faced ?
Common Attack Types: The most common types of attacks the company has faced is Breach.
How does the company identify the attack vectors used in incidents ?
Identification of Attack Vectors: The company identifies the attack vectors used in incidents through User Account and Advisor's Email Account.
Impact of the Incidents
What was the impact of each incident ?
Incident : Data Breach LPL431070825
Data Compromised: Account Numbers
Incident : Data Breach LPL814072625
Data Compromised: Names, Account numbers, Social security numbers
Incident : Data Breach LPL604072725
Data Compromised: Names, Social security numbers, Financial information
Incident : Data Breach LPL1010090725
Data Compromised: Names, Social security numbers, Financial and banking information, Health insurance information, Medical information
Systems Affected: Advisor's Email Account
Identity Theft Risk: High (PII exposed)
Payment Information Risk: High (Financial/Banking Information exposed)
What types of data are most commonly compromised in incidents ?
Commonly Compromised Data Types: The types of data most commonly compromised in incidents are Account Numbers, Names, Account Numbers, Social Security Numbers, , Names, Social Security Numbers, Financial Information, , Personally Identifiable Information (Pii), Financial Data, Health Information and .
Which entities were affected by each incident ?
Incident : Data Breach LPL431070825
Entity Name: LPL Financial
Entity Type: Company
Industry: Financial Services
Location: Massachusetts
Customers Affected: 1
Incident : Data Breach LPL814072625
Entity Name: LPL Financial LLC
Entity Type: Financial Services
Industry: Finance
Incident : Data Breach LPL604072725
Entity Name: LPL Financial
Entity Type: Financial Services
Industry: Finance
Incident : Data Breach LPL1010090725
Entity Name: LPL Financial LLC
Entity Type: Financial Services
Industry: Wealth Management
Location: USA (Washington residents affected)
Customers Affected: 992
Response to the Incidents
What measures were taken in response to each incident ?
Incident : Data Breach LPL1010090725
Communication Strategy: Public disclosure via Washington State Attorney General
Data Breach Information
What type of data was compromised in each breach ?
Incident : Data Breach LPL431070825
Type of Data Compromised: Account Numbers
Number of Records Exposed: 1
File Types Exposed: Paper Records
Incident : Data Breach LPL814072625
Type of Data Compromised: Names, Account numbers, Social security numbers
Sensitivity of Data: High
Incident : Data Breach LPL604072725
Type of Data Compromised: Names, Social security numbers, Financial information
Personally Identifiable Information: NamesSocial Security numbers
Incident : Data Breach LPL1010090725
Type of Data Compromised: Personally identifiable information (pii), Financial data, Health information
Number of Records Exposed: 992
Sensitivity of Data: High
Data Exfiltration: Likely (email access implies potential exfiltration)
File Types Exposed: EmailsAttachments (likely)
Personally Identifiable Information: NamesSocial Security NumbersFinancial/Banking DetailsHealth Insurance InformationMedical Information
Regulatory Compliance
Were there any regulatory violations and fines imposed for each incident ?
Incident : Data Breach LPL1010090725
Regulatory Notifications: Washington State Attorney General
References
Where can I find more information about each incident ?
Incident : Data Breach LPL431070825
Source: Massachusetts Office of Consumer Affairs and Business Regulation
Incident : Data Breach LPL814072625
Source: California Office of the Attorney General
Date Accessed: 2018-11-17
Incident : Data Breach LPL604072725
Source: California Office of the Attorney General
Incident : Data Breach LPL1010090725
Source: Washington State Office of the Attorney General
Date Accessed: 2021-09-30
Where can stakeholders find additional resources on cybersecurity best practices ?
Additional Resources: Stakeholders can find additional resources on cybersecurity best practices at and Source: Massachusetts Office of Consumer Affairs and Business Regulation, and Source: California Office of the Attorney GeneralDate Accessed: 2018-11-17, and Source: California Office of the Attorney General, and Source: Washington State Office of the Attorney GeneralDate Accessed: 2021-09-30.
Investigation Status
How does the company communicate the status of incident investigations to stakeholders ?
Communication of Investigation Status: The company communicates the status of incident investigations to stakeholders through Public disclosure via Washington State Attorney General.
Initial Access Broker
How did the initial access broker gain entry for each incident ?
Incident : Data Breach LPL814072625
Entry Point: User Account
Incident : Data Breach LPL1010090725
Entry Point: Advisor's Email Account
High Value Targets: Client Pii, Financial Data,
Data Sold on Dark Web: Client Pii, Financial Data,
Post-Incident Analysis
What were the root causes and corrective actions taken for each incident ?
Incident : Data Breach LPL814072625
Root Causes: Unauthorized Access to User Account
Additional Questions
Incident Details
What was the most recent incident detected ?
Most Recent Incident Detected: The most recent incident detected was on 2011-09-23.
What was the most recent incident publicly disclosed ?
Most Recent Incident Publicly Disclosed: The most recent incident publicly disclosed was on 2021-09-30.
Impact of the Incidents
What was the most significant data compromised in an incident ?
Most Significant Data Compromised: The most significant data compromised in an incident were Account Numbers, Names, Account Numbers, Social Security Numbers, , Names, Social Security numbers, Financial information, , Names, Social Security Numbers, Financial and Banking Information, Health Insurance Information, Medical Information and .
What was the most significant system affected in an incident ?
Most Significant System Affected: The most significant system affected in an incident was Advisor's Email Account.
Data Breach Information
What was the most sensitive data compromised in a breach ?
Most Sensitive Data Compromised: The most sensitive data compromised in a breach were Social Security numbers, Financial and Banking Information, Account Numbers, Social Security Numbers, Health Insurance Information, Names, Financial information and Medical Information.
What was the number of records exposed in the most significant breach ?
Number of Records Exposed in Most Significant Breach: The number of records exposed in the most significant breach was 993.0.
References
What is the most recent source of information about an incident ?
Most Recent Source: The most recent source of information about an incident are Massachusetts Office of Consumer Affairs and Business Regulation, California Office of the Attorney General and Washington State Office of the Attorney General.
Initial Access Broker
What was the most recent entry point used by an initial access broker ?
Most Recent Entry Point: The most recent entry point used by an initial access broker were an Advisor's Email Account and User Account.
.png)
Latest Global CVEs (Not Company-Specific)
Description
FreePBX Endpoint Manager is a module for managing telephony endpoints in FreePBX systems. Versions prior to 16.0.96 and 17.0.1 through 17.0.9 have a weak default password. By default, this is a 6 digit numeric value which can be brute forced. (This is the app_password parameter). Depending on local configuration, this password could be the extension, voicemail, user manager, DPMA or EPM phone admin password. This issue is fixed in versions 16.0.96 and 17.0.10.
Risk Information
cvss4
Base: 6.9
Severity: LOW
CVSS:4.0/AV:N/AC:L/AT:N/PR:N/UI:N/VC:L/VI:L/VA:N/SC:N/SI:N/SA:N/E:X/CR:X/IR:X/AR:X/MAV:X/MAC:X/MAT:X/MPR:X/MUI:X/MVC:X/MVI:X/MVA:X/MSC:X/MSI:X/MSA:X/S:X/AU:X/R:X/V:X/RE:X/U:X
Description
Neuron is a PHP framework for creating and orchestrating AI Agents. In versions 2.8.11 and below, the MySQLWriteTool executes arbitrary SQL provided by the caller using PDO::prepare() + execute() without semantic restrictions. This is consistent with the name (“write tool”), but in an LLM/agent context it becomes a high-risk capability: prompt injection or indirect prompt manipulation can cause execution of destructive queries such as DROP TABLE, TRUNCATE, DELETE, ALTER, or privilege-related statements (subject to DB permissions). Deployments that expose an agent with MySQLWriteTool enabled to untrusted input and/or run the tool with a DB user that has broad privileges are impacted. This issue is fixed in version 2.8.12.
Risk Information
cvss3
Base: 9.4
Severity: LOW
CVSS:3.1/AV:N/AC:L/PR:N/UI:N/S:U/C:L/I:H/A:H
Description
Neuron is a PHP framework for creating and orchestrating AI Agents. Versions 2.8.11 and below use MySQLSelectTool, which is vulnerable to Read-Only Bypass. MySQLSelectTool is intended to be a read-only SQL tool (e.g., for LLM agent querying, however, validation based on the first keyword (e.g., SELECT) and a forbidden-keyword list does not block file-writing constructs such as INTO OUTFILE / INTO DUMPFILE. As a result, an attacker who can influence the tool input (e.g., via prompt injection through a public agent endpoint) may write arbitrary files to the DB server if the MySQL/MariaDB account has the FILE privilege and server configuration permits writes to a useful location (e.g., a web-accessible directory). This issue is fixed in version 2.8.12.
Risk Information
cvss3
Base: 8.2
Severity: LOW
CVSS:3.1/AV:N/AC:L/PR:N/UI:N/S:U/C:L/I:H/A:N
Description
Okta Java Management SDK facilitates interactions with the Okta management API. In versions 11.0.0 through 20.0.0, race conditions may arise from concurrent requests using the ApiClient class. This could cause a status code or response header from one request’s response to influence another request’s response. This issue is fixed in version 20.0.1.
Risk Information
cvss3
Base: 8.4
Severity: HIGH
CVSS:3.1/AV:N/AC:H/PR:L/UI:N/S:C/C:H/I:H/A:L
Description
The Auth0 Next.js SDK is a library for implementing user authentication in Next.js applications. When using versions 4.11.0 through 4.11.2 and 4.12.0, simultaneous requests on the same client may result in improper lookups in the TokenRequestCache for the request results. This issue is fixed in versions 4.11.2 and 4.12.1.
Risk Information
cvss3
Base: 5.4
Severity: HIGH
CVSS:3.1/AV:N/AC:H/PR:L/UI:R/S:U/C:H/I:L/A:N
Access Data Using Our API
Get company history
curl -i -X GET 'https://api.rankiteo.com/underwriter-getcompany-history?linkedin_id=lpl-financial' -H 'apikey: YOUR_API_KEY_HERE'
RapidWhat Do We Measure ?
Incident
Finding
Grade
Digital Assets
Every week, Rankiteo analyzes billions of signals to give organizations a sharper, faster view of emerging risks. With deeper, more actionable intelligence at their fingertips, security teams can outpace threat actors, respond instantly to Zero-Day attacks, and dramatically shrink their risk exposure window.
These are some of the factors we use to calculate the overall score:
Network Security
Identify exposed access points, detect misconfigured SSL certificates, and uncover vulnerabilities across the network infrastructure.
SBOM (Software Bill of Materials)
Gain visibility into the software components used within an organization to detect vulnerabilities, manage risk, and ensure supply chain security.
CMDB (Configuration Management Database)
Monitor and manage all IT assets and their configurations to ensure accurate, real-time visibility across the company's technology environment.
Threat Intelligence
Leverage real-time insights on active threats, malware campaigns, and emerging vulnerabilities to proactively defend against evolving cyberattacks.
Rankiteo is a unified scoring and risk platform that analyzes billions of signals weekly to help organizations gain faster, more actionable insights into emerging threats. Empowering teams to outpace adversaries and reduce exposure.
