LPS CAPITAL LLC ⚠ Disclosure events
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 155246
- Firm name
- LPS CAPITAL LLC
- Other names / DBAs
- DISCOUNT MUNICIPAL BOND CORP.; TORREY PINES WEALTH MANAGEMENT, INC.; LPS PARTNERS INC.; LPS CAPITAL LLC
- IA scope
- —
- SEC BD file
- 8-68706
- Branches
- 5
- Disclosure events
- YES
Run KYC screen
Check LPS CAPITAL LLC across OFAC + UFLPA + CSL + SAM + OIG + DOJ + CFTC + CFPB + courts + Fed + NHTSA + CISA + FINRA ↗