LPLA SEC फाइलिंग - LPL Financial Holdings Inc.- वार्षिक रिपोर्ट, प्रॉक्सी स्टेटमेंट, प्रॉस्पेक्टस

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LEI	549300XROQ4Y8G2L7682
CIK	1397911

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to LPL Financial Holdings Inc.

SEC Filings (Chronological Order)

यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।

August 4, 2025	EX-22.1	List of Subsidiary Guarantors and Issuers of Guaranteed Securities.* Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of June 30, 2025, LPL Financial Holdings Inc., a Delaware corporation, has fully and unconditionally guaranteed the 5.700% Senior Notes due 2027, the 4.900% and 6.750% Senior Notes due 2028, the 5.150% and 5.200% Senior Notes due 2030, the 6.000% Senior Notes due 2034 and the 5.650% and 5.750% Senior Notes due 2035
August 4, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Financ
August 4, 2025	EX-10.2	LPL Financial LLC Executive Severance Plan, amended and restated as of May 9, 2025 Exhibit 10.2 LPL FINANCIAL LLC EXECUTIVE SEVERANCE PLAN Amended and Restated as of May 9, 2025 Introduction The purpose of this Plan is to enable the Company and its Affiliates to offer certain protections to senior executives in a position designated as Management Level 13 or 14 in the event their employment with the Company or an Affiliate terminates. Accordingly, the Board has adopted the Plan
August 4, 2025	EX-10.1	LPL Financial Holdings Inc. Non-Employee Director Compensation Policy, as amended May 22, 2025 Exhibit 10.1 LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy Annual Retainer •All non-employee directors receive an annual retainer of $310,000, which is paid in advance on the next business day following the Company’s annual meeting of stockholders (the “Annual Payment Date”). Of this amount, $105,000 is paid in a lump sum in cash and $205,000 is paid in the form of restrict
August 1, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2025 LPL Financial Hold UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2025 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commiss
August 1, 2025	EX-99.1	LPL FINANCIAL CLOSES ITS ACQUISITION OF COMMONWEALTH FINANCIAL NETWORK EX-99.1 Exhibit 99.1 LPL FINANCIAL CLOSES ITS ACQUISITION OF COMMONWEALTH FINANCIAL NETWORK SAN DIEGO – Aug. 1, 2025 – LPL Financial Holdings Inc. (NASDAQ: LPLA), together with its subsidiaries, including LPL Financial LLC, announced the closing of its acquisition of Commonwealth Financial Network (“Commonwealth”), a wealth management firm supporting approximately 3,000* advisors managing $305 bil
July 31, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2025 LPL Financial Holdi UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2025 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commissi
July 31, 2025	EX-99.1	LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended June 30, March 31, June 30, 2025 2025 Change 2024 Change REVENUE Advisory $ 1,717,738 $ 1,689,245 2 % For Immediate Release LPL Financial Announces Second Quarter 2025 Results Key Financial Results: •Net Income was $273 million, translating to diluted earnings per share ("EPS") of $3.
July 3, 2025	EX-10.1	Consulting Agreement, dated July 2, 2025, between Althea Brown and LPL Financial LLC Exhibit 10.1 CONSULTING AGREEMENT This CONSULTING AGREEMENT (“Consulting Agreement”) is made and entered into as of July 2, 2025 (“Effective Date”), by and between Althea Brown, an individual, with an address at [* * *] (“Consultant”) and LPL Financial LLC (“LPL”), with a place of business at 4707 Executive Drive, San Diego, CA 92121. BACKGROUND WHEREAS, prior to June 30, 2025, Consultant served a
July 3, 2025	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 2, 2025 LPL Financial Holdings Inc.
June 3, 2025	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2025 LPL Financial Holdings Inc.
May 23, 2025	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2025 LPL Financial Holdings Inc.
May 9, 2025	EX-22.1	List of Subsidiary Guarantors and Issuers of Guaranteed Securities.* Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of May 9, 2025, LPL Financial Holdings Inc., a Delaware corporation, has fully and unconditionally guaranteed the 5.700% Senior Notes due 2027, the 4.900% and 6.750% Senior Notes due 2028, the 5.150% and 5.200% Senior Notes due 2030, the 6.000% Senior Notes due 2034 and the 5.650% and 5.750% Senior Notes due 2035 is
May 9, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Finan
May 9, 2025	EX-10.1	Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan, as amended February 10, 2025.* Name: [●] Target Number of PSUs: [●] Date of Grant: [●] EMPLOYEE Performance STOCK UNIT AWARD granted under the LPL Financial Holdings Inc.
May 8, 2025	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2025 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commission
May 8, 2025	EX-99.1	LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended March 31, December 31, March 31, 2025 2024 Change 2024 Change REVENUE Advisory $ 1,689,245 $ 1,595,834 For Immediate Release LPL Financial Announces First Quarter 2025 Results Key Financial Results: •Net Income was $319 million, translating to diluted earnings per share ("EPS") of $4.
April 3, 2025	424B5	$1,500,000,000 LPL Holdings, Inc. $500,000,000 4.900% Senior Notes due 2028 $500,000,000 5.150% Senior Notes due 2030 $500,000,000 5.750% Senior Notes due 2035 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-285503 and 333-285503-01 Prospectus Supplement (To Prospectus dated March 25, 2025) $1,500,000,000 LPL Holdings, Inc. $500,000,000 4.900% Senior Notes due 2028 $500,000,000 5.150% Senior Notes due 2030 $500,000,000 5.750% Senior Notes due 2035 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc
April 3, 2025	EX-4.4	Eighth Supplemental Indenture, dated April 3, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as trustee Exhibit 4.4 EIGHTH SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of April 3, 2025, among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and the
April 3, 2025	EX-4.3	Seventh Supplemental Indenture, dated April 3, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as trustee Exhibit 4.3 SEVENTH SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of April 3, 2025, among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and the
April 3, 2025	8-K	Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2025 LPL Financial Holdings Inc.
April 3, 2025	EX-1.1	Underwriting Agreement, dated April 1, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc. and Morgan Stanley & Co. LLC, Citigroup Global Markets Inc., Citizens JMP Securities, LLC, Truist Securities, Inc. and U.S. Bancorp Investments, Inc., as representatives of the several underwriters named in Schedule I thereto. Exhibit 1.1 LPL Holdings, Inc. $500,000,000 4.900% Senior Notes due 2028 $500,000,000 5.150% Senior Notes due 2030 $500,000,000 5.750% Senior Notes due 2035 Underwriting Agreement April 1, 2025 Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 Citigroup Global Markets Inc. 388 Greenwich Street New York, New York 10013 Citizens JMP Securities, LLC 600 Montgomery Street, Suite 1100 San
April 3, 2025	EX-4.2	Sixth Supplemental Indenture, dated April 3, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as trustee Exhibit 4.2 SIXTH SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of April 3, 2025, among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and the P
April 2, 2025	EX-1.1	Underwriting Agreement dated March 31, 2025, by and between LPL Financial Holdings Inc. and Morgan Stanley & Co. LLC, as representative of the several underwriters named in Schedule I thereto Exhibit 1.1 4,687,500 Shares LPL FINANCIAL HOLDINGS INC. COMMON STOCK, PAR VALUE $0.001 PER SHARE UNDERWRITING AGREEMENT March 31, 2025 March 31, 2025 Morgan Stanley & Co. LLC c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 Ladies and Gentlemen: LPL Financial Holdings Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in S
April 2, 2025	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 31, 2025 LPL Financial Holdings Inc.
April 2, 2025	424B5	LPL Financial Holdings Inc. 4,687,500 Shares of Common Stock 424B5 1 d905918d424b5.htm 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-285503 Prospectus Supplement (To Prospectus dated March 25, 2025) LPL Financial Holdings Inc. 4,687,500 Shares of Common Stock We are offering 4,687,500 shares of our common stock. We have granted the underwriters a 30-day option to purchase up to 703,125 additional shares of our common stock fr
April 1, 2025	424B5	SUBJECT TO COMPLETION, DATED APRIL 1, 2025 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-285503 and 333-285503-01 The information in this preliminary prospectus supplement is not complete and may be changed. Neither this preliminary prospectus supplement nor the accompanying prospectus is an offer to sell nor is it an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. SUBJE
April 1, 2025	FWP	LPL Holdings, Inc. $500,000,000 4.900% Senior Notes due 2028 $500,000,000 5.150% Senior Notes due 2030 $500,000,000 5.750% Senior Notes due 2035 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet Free Writing Prospectus Filed Pursuant to Rule 433 Registration Nos. 333-285503 and 333-285503-01 April 1, 2025 LPL Holdings, Inc. $500,000,000 4.900% Senior Notes due 2028 $500,000,000 5.150% Senior Notes due 2030 $500,000,000 5.750% Senior Notes due 2035 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet This pricing term sheet (this “Pricing
March 31, 2025	EX-99.2	Notice to Investors: Safe Harbor Statement Certain of the statements included in this presentation, such as those regarding the completion of the acquisition of Commonwealth Financial Network (“Commonwealth”) by LPL Financial Holdings Inc. (together Exhibit 99.2 LPL Financial to Acquire Commonwealth Financial Network March 31, 2025 LPL Financial Member FINRA/SIPC Notice to Investors: Safe Harbor Statement Certain of the statements included in this presentation, such as those regarding the completion of the acquisition of Commonwealth Financial Network (“Commonwealth”) by LPL Financial Holdings Inc. (together with its subsidiaries, including L
March 31, 2025	424B5	SUBJECT TO COMPLETION, DATED MARCH 31, 2025 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-285503 The information in this preliminary prospectus supplement is not complete and may be changed. Neither this preliminary prospectus supplement nor the accompanying prospectus is an offer to sell nor is it an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. SUBJECT TO COMPLETION,
March 31, 2025	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2025 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commiss
March 31, 2025	EX-2.1	Equity Purchase Agreement, dated as of March 28, 2025, by and among LPL Holdings, Inc., Gratitude Holdings, Inc., Odd Couple, Inc. and Exhibit 2.1 EQUITY PURCHASE AGREEMENT by and among LPL HOLDINGS, INC. GRATITUDE HOLDINGS, INC. ODD COUPLE, INC. and CFN HOLDING COMPANY, LLC Dated as of March 28, 2025 TABLE OF CONTENTS Page ARTICLE I PURCHASE AND SALE OF EQUITY Section 1.1 Purchase and Sale of Equity 1 Section 1.2 Closing 1 Section 1.3 Closing Deliveries and Payments 2 Section 1.4 Treatment of Company Options 2 ARTICLE II PURCHAS
March 31, 2025	EX-99.1	### Exhibit 99.1 LPL Financial to Acquire Commonwealth Financial Network • Commonwealth supports ~2,900 independent advisors managing ~$285 billion in assets • Commonwealth ranked #1 in Independent Advisor Satisfaction 11 times in a row by J.D. Power • Founder of Commonwealth to assume advisory role to LPL Board of Directors • Commonwealth CEO to join LPL Management Committee, partnering to launch Off
March 25, 2025	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Ru
March 25, 2025	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ De
March 21, 2025	S-3/A	As filed with the Securities and Exchange Commission on March 21, 2025 Table of Contents As filed with the Securities and Exchange Commission on March 21, 2025 Registration No.
March 21, 2025	EX-25.1	Statement of Eligibility of Trustee (filed herewith) EX-25.1 Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ☐ Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 91-1821036
March 21, 2025	CORRESP	LPL Financial Holdings Inc. LPL Holdings, Inc. 4707 Executive Drive, San Diego, CA 92121 LPL Financial Holdings Inc. LPL Holdings, Inc. 4707 Executive Drive, San Diego, CA 92121 March 21, 2025 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Jessica Livingston Re: LPL Financial Holdings Inc. LPL Holdings, Inc. Registration Statement on Form S-3 (File No. 333-285503 and 333-285503-01) Request for
March 6, 2025	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2025 LPL Financial Holdings Inc.
March 3, 2025	EX-4.2	Form of Indenture (filed herewith) Exhibit 4.2 LPL HOLDINGS, INC., as Company, LPL FINANCIAL HOLDINGS INC., as Parent Guarantor and [ ], as Trustee INDENTURE Dated as of [ ] CROSS-REFERENCE TABLE TIA Section Indenture Section 310 (a)(1) 8.9 (a)(2) 8.9 (a)(3) N/A (a)(4) N/A (a)(5) 8.9 (b) 8.8; 8.9 (c) N/A 311 (a) 8.13 (b) 8.13 (c) N/A 312 (a) 9.1 (b) 9.2 (c) 9.2 313 (a) 9.3 (b)(1) 9.3 (b)(2) 9.3 (c) 9.3 (d) 9.3 314 (a) 9.4 (
March 3, 2025	EX-22.1	List of Subsidiary Guarantors and Issuers of Guaranteed Securities (filed herewith) Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities LPL Financial Holdings Inc. will fully and unconditionally guarantee the debt securities issued by LPL Holdings, Inc., a subsidiary of LPL Financial Holdings Inc., pursuant to the registration statement of which this Exhibit 22.1 is a part.
March 3, 2025	EX-FILING FEES	Filing Fee Table (filed herewith) Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) LPL Financial Holdings Inc.
March 3, 2025	S-3	As filed with the Securities and Exchange Commission on March 3, 2025 Table of Contents As filed with the Securities and Exchange Commission on March 3, 2025 Registration No.
February 26, 2025	EX-4.3	Fifth Supplemental Indenture, dated February 26, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Exhibit 4.3 FIFTH SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of February 26, 2025, among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and t
February 26, 2025	8-K	Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2025 LPL Financial Holdings Inc.
February 26, 2025	EX-4.2	Fourth Supplemental Indenture, dated February 26, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as trustee Exhibit 4.2 FOURTH SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of February 26, 2025, among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and
February 25, 2025	EX-1.1	Underwriting Agreement, dated February 24, 2025, among LPL Holdings, the Company, Truist Securities, Inc., U.S. Bancorp Investments, Inc., BofA Securities, Inc., Citizens JMP Securities, LLC and J.P. Morgan Securities LLC, as representatives of the several underwriters named in Schedule 1 thereto Exhibit 1.1 EXECUTION VERSION LPL Holdings, Inc. $750,000,000 5.200% Senior Notes due 2030 $500,000,000 5.650% Senior Notes due 2035 Underwriting Agreement February 24, 2025 Truist Securities, Inc. 3333 Peachtree Road, NE, 11th Floor Atlanta, Georgia 30326 U.S. Bancorp Investments, Inc. 214 N. Tryon St., 26th Floor Charlotte, North Carolina 28202 BofA Securities, Inc. One Bryant Park New York,
February 25, 2025	424B5	$1,250,000,000 LPL Holdings, Inc. $750,000,000 5.200% Senior Notes due 2030 $500,000,000 5.650% Senior Notes due 2035 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No 333-274631 and 333-274631-02 Prospectus Supplement (To Prospectus dated November 1, 2023) $1,250,000,000 LPL Holdings, Inc.
February 25, 2025	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 24, 2025 LPL Financial Holdings Inc.
February 24, 2025	424B5	SUBJECT TO COMPLETION, DATED FEBRUARY 24, 2025 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No 333-274631 and 333-274631-02 The information in this preliminary prospectus supplement is not complete and may be changed.
February 24, 2025	FWP	LPL Holdings, Inc. $750,000,000 5.200% Senior Notes due 2030 $500,000,000 5.650% Senior Notes due 2035 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet Free Writing Prospectus Filed Pursuant to Rule 433 Registration Nos. 333-274631 and 333-274631-02 February 24, 2025 LPL Holdings, Inc. $750,000,000 5.200% Senior Notes due 2030 $500,000,000 5.650% Senior Notes due 2035 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet This pricing term sheet (this “Pricing Term Sheet”) is qualified in its enti
February 20, 2025	EX-19.1	Insider Trading Policy* LPL FINANCIAL HOLDINGS INC. INSIDER TRADING POLICY This policy applies to all employees, officers, directors and consultants of LPL Financial Holdings Inc. and its affiliates (the “Company”). This policy is designed to prevent insider trading or allegations of insider trading and to protect the Company’s reputation for integrity and ethical conduct. It is your obligation to understand and comply w
February 20, 2025	EX-21.1	List of Subsidiaries of LPL Financial Holdings Inc.* Exhibit 21.1 Subsidiaries of Registrant Subsidiary Entity Name Jurisdiction of Incorporation Name Under Which the Subsidiary Does Business 1. LPL Holdings, Inc. Massachusetts LPL 2. PTC Holdings, Inc. Ohio PTC 3. The Private Trust Company, N.A. Ohio PTC 4. LPL Financial LLC California LPL, LPL Financial 5. LPL Insurance Associates, Inc. Delaware LPL, LPL Financial 6. AW Subsidiary, Inc.** Dela
February 20, 2025	EX-4.8	Exhibit 4.8 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description of our common stock is a summary and does not purport to be complete.
February 20, 2025	EX-10.15	Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan, as amended February 9, 2024.* Name: [●] Target Number of PSUs: [●] Date of Grant: [●] EMPLOYEE PERFORMANCE STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC.
February 20, 2025	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-34963 LPL Financial Holdings Inc
February 20, 2025	EX-10.30	Separation Agreement and General Release, dated December 8, 2024, between Dan H. Arnold and LPL Financial Holdings Inc.* Settlement Agreement and General Release This Settlement Agreement and General Release (this “Agreement”), dated as of December 8, 2024, is made and entered into by and between Dan H.
February 20, 2025	EX-22.1	List of subsidiary guarantors and issuers of guaranteed securities.* Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of December 31, 2024, LPL Financial Holdings Inc., a Delaware corporation, has fully and unconditionally guaranteed the 5.700% Senior Notes due 2027, the 6.750% Senior Notes due 2028 and the 6.000% Senior Notes due 2034 issued by LPL Holdings, Inc., a Massachusetts corporation, pursuant to offerings registered under
January 30, 2025	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2025 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commi
January 30, 2025	EX-99.1	LPL Financial Holdings Inc. Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended December 31, September 30, December 31, 2024 2024 Change 2023 Change REVENUE Advisory $ 1,595,834 $ 1,378,050 16 For Immediate Release LPL Financial Announces Fourth Quarter and Full Year 2024 Results Fourth Quarter 2024 Key Financial Results: •Net Income was $271 million, translating to diluted earnings per share ("EPS") of $3.
December 9, 2024	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 8, 2024 LPL Financial Holdings Inc.
December 9, 2024	8-K/A	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K/A Amendment No.
December 9, 2024	EX-10.1	Ninth Amendment, dated December 5, 2024, among the Borrower, LPL Financial Holdings Inc., JPMorgan Chase Bank, N.A., as administrative agent, and the other lenders and parties party thereto Exhibit 10.1 Execution Version NINTH AMENDMENT dated as of December 5, 2024 among LPL FINANCIAL HOLDINGS INC., as Holdings, LPL HOLDINGS, INC., as Borrower, THE LENDERS PARTY HERETO, JPMORGAN CHASE BANK, N.A., as Administrative Agent, TRUIST SECURITIES, INC., JPMORGAN CHASE BANK, N.A., U.S. BANK NATIONAL ASSOCIATION, CITIZENS BANK, N.A., and BANK OF AMERICA, N.A. as Joint Lead Arrangers and Joint
December 5, 2024	EX-10.1	Ninth Amendment, dated December 5, 2024, among LPL Financial Holdings Inc., LPL Holdings, Inc., the Incremental Revolving Lenders (as defined therein), JPMorgan Chase Bank, N.A., as administrative agent and collateral agent, letter of credit issuer and swingline lender, and the lenders and parties party thereto from time to time (incorporated by reference to the Form 8-K filed on December 5, 2024, File No. 001-34963). Exhibit 10.1 Execution Version NINTH AMENDMENT dated as of December 5, 2024 among LPL FINANCIAL HOLDINGS INC., as Holdings, LPL HOLDINGS, INC., as Borrower, THE LENDERS PARTY HERETO, JPMORGAN CHASE BANK, N.A., as Administrative Agent, TRUIST SECURITIES, INC., JPMORGAN CHASE BANK, N.A., U.S. BANK NATIONAL ASSOCIATION, CITIZENS BANK, N.A., and BANK OF AMERICA, N.A. as Joint Lead Arrangers and Joint
December 5, 2024	8-K	Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 5, 2024 LPL Financial Holdings Inc.
November 4, 2024	EX-22.1	List of Subsidiary Guarantors and Issuers of Guaranteed Securities.* Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of September 30, 2024, LPL Financial Holdings Inc., a Delaware corporation, has fully and unconditionally guaranteed the 5.700% Senior Notes due 2027, the 6.750% Senior Notes due 2028 and the 6.000% Senior Notes due 2034 issued by LPL Holdings, Inc., a Massachusetts corporation, pursuant to offerings registered unde
November 4, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL F
October 30, 2024	EX-99.1	LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended September 30, June 30, September 30, 2024 2024 Change 2023 Change REVENUE Advisory $ 1,378,050 $ 1,288 For Immediate Release LPL Financial Announces Third Quarter 2024 Results Key Financial Results •Net Income was $255 million, translating to diluted earnings per share ("EPS") of $3.
October 30, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2024 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commi
October 21, 2024	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 17, 2024 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commi
October 21, 2024	EX-99.1	LPL Public Relations Exhibit 99.1 LPL Public Relations For Immediate Release Rich Steinmeier Named Chief Executive Officer of LPL Financial; Elected to Board of Directors Matt Audette Named President; Expands Current CFO Role SAN DIEGO – Oct. 21, 2024 – LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that the Board of Directors has confirmed Rich Steinmeier as Chief Executive Officer. Steinmeier, who had be
October 1, 2024	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 1, 2024 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commis
October 1, 2024	EX-99.1	LPL Financial Holdings Inc. Announces Termination of President and CEO Dan H. Arnold Board of Directors Names Chief Growth Officer Rich Steinmeier as Interim CEO Exhibit 99.1 LPL Financial Holdings Inc. Announces Termination of President and CEO Dan H. Arnold Board of Directors Names Chief Growth Officer Rich Steinmeier as Interim CEO SAN DIEGO, California – October 1, 2024 – LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that the Board of Directors has terminated the company’s President and Chief Executive Officer, Dan H. Arnold, effective imm
July 30, 2024	EX-10.1	LPL Financial Holdings Inc. Non-Employee Director Compensation Policy, as amended May Exhibit 10.1 LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy Annual Retainer •All non-employee directors receive an annual retainer of $285,000, which is paid in advance on the next business day following the Company’s annual meeting of stockholders (the “Annual Payment Date”). Of this amount, $100,000 is paid in a lump sum in cash and $185,000 is paid in the form of restrict
July 30, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Financ
July 30, 2024	EX-22.1	List of Subsidiary Guarantors and Issuers of Guaranteed Securities.* Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of June 30, 2024, LPL Financial Holdings Inc., a Delaware corporation, has fully and unconditionally guaranteed the 5.700% Senior Notes due 2027, the 6.750% Senior Notes due 2028 and the 6.000% Senior Notes due 2034 issued by LPL Holdings, Inc., a Massachusetts corporation, pursuant to offerings registered under the
July 30, 2024	EX-10.2	ial Holdings Inc. Non-Employee Director Deferred Compensation Plan, as amended May Exhibit 10.2 LPL FINANCIAL HOLDINGS, INC. NON-EMPLOYEE DIRECTOR DEFERRED COMPENSATION PLAN Amended as of May 9, 2024 1.DEFINED TERMS Exhibit A, which is incorporated by reference, defines the terms used in this Plan and sets forth certain operational rules relating to those terms. 2.PURPOSE; EFFECTIVE DATE The purpose of the Plan is to enable Directors to defer the receipt of certain compensation
July 25, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 25, 2024 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commissi
July 25, 2024	EX-99.1	LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended June 30, March 31, June 30, 2024 2024 Change 2023 Change REVENUE Advisory $ 1,288,163 $ 1,199,811 7 % For Immediate Release LPL Financial Announces Second Quarter 2024 Results Key Financial Results •Net Income was $244 million, translating to diluted earnings per share ("EPS") of $3.
May 20, 2024	8-K	Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 20, 2024 LPL Financial Holdings Inc.
May 20, 2024	EX-4.3	Third Supplemental Indenture, dated as of May 20, 2024, among LPL Holdings, U.S. Bank Trust Company, National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors (incorporated by reference to the Form 8-K filed on May 20, 2024, File No. 001-34963). Exhibit 4.3 THIRD SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of May 20, 2024 among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and the Par
May 20, 2024	EX-4.2	Second Supplemental Indenture, dated as of May 20, 2024, among LPL Holdings, U.S. Bank Trust Company, National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors (incorporated by reference to the Form 8-K filed on May 20, 2024, File No. 001-34963). Exhibit 4.2 SECOND SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of May 20, 2024 among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and the Pa
May 20, 2024	EX-10.1	Eighth Amendment, dated May 20, 2024, among LPL Financial Holdings Inc., LPL Holdings, Inc., certain subsidiaries of the Company, as Subsidiary Guarantors (as defined therein), the Incremental Revolving Lenders (as defined therein), JPMorgan Chase Bank, N.A., as administrative agent and collateral agent, letter of credit issuer and swingline lender, and the lenders and parties party thereto from time to time (incorporated by reference to the Form 8-K filed on May 20, 2024, File No. 001-34963). Exhibit 10.1 Execution Version EIGHTH AMENDMENT dated as of May 20, 2024 among LPL FINANCIAL HOLDINGS INC., as Holdings, LPL HOLDINGS, INC., as Borrower, CERTAIN SUBSIDIARIES OF LPL FINANCIAL HOLDINGS INC., as Subsidiary Guarantors, THE INCREMENTAL REVOLVING LENDERS PARTY HERETO, JPMORGAN CHASE BANK, N.A., as Administrative Agent, JPMORGAN CHASE BANK, N.A., CITIBANK, N.A., CITIZENS BANK, N.A., TRU
May 15, 2024	424B5	$1,000,000,000 LPL Holdings, Inc. $500,000,000 5.700% Senior Notes due 2027 $500,000,000 6.000% Senior Notes due 2034 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Table of Contents Filed Pursuant to Rule 424(b)(5) File Number 333-274631 and 333-274631-02 Prospectus Supplement (To Prospectus dated November 1, 2023) $1,000,000,000 LPL Holdings, Inc.
May 14, 2024	FWP	LPL Holdings, Inc. $500,000,000 5.700% Senior Notes due 2027 $500,000,000 6.000% Senior Notes due 2034 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet Free Writing Prospectus Filed Pursuant to Rule 433 Registration Nos. 333-274631 and 333-274631-02 May 13, 2024 LPL Holdings, Inc. $500,000,000 5.700% Senior Notes due 2027 $500,000,000 6.000% Senior Notes due 2034 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet This pricing term sheet (this “Pricing Term Sheet”) is qualified in its entirety
May 14, 2024	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2024 LPL Financial Holdings Inc.
May 14, 2024	EX-1.1	Underwriting Agreement, dated May 13, 2024, among LPL Holdings, the Company, J.P. Morgan Securities LLC, Citigroup Global Markets Inc., Citizens JMP Securities, LLC, Truist Securities, Inc. and U.S. Bancorp Investments, Inc., as representatives of the several underwriters named in Schedule 1 thereto Exhibit 1.1 EXECUTION VERSION LPL Holdings, Inc. $500,000,000 5.700% Senior Notes due 2027 $500,000,000 6.000% Senior Notes due 2034 Underwriting Agreement May 13, 2024 J.P. Morgan Securities LLC 383 Madison Avenue New York, New York 10179 Citigroup Global Markets Inc. 388 Greenwich Street New York, New York 10013 Citizens JMP Securities, LLC 28 State Street, Floor 12 Boston, Massachusetts 02109 T
May 13, 2024	424B5	SUBJECT TO COMPLETION, DATED MAY 13, 2024 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) File Number 333-274631 and 333-274631-02 The information in this preliminary prospectus supplement is not complete and may be changed.
May 10, 2024	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2024 LPL Financial Holdings Inc.
May 2, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Finan
May 2, 2024	EX-22.1	List of Subsidiary Guarantors and Issuers of Guaranteed Securities.* Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of March 31, 2024, LPL Financial Holdings Inc., a Delaware corporation, has fully and unconditionally guaranteed the 6.750% Senior Notes due 2028 issued by LPL Holdings, Inc., a Massachusetts corporation, pursuant to an offering registered under the Securities Act of 1933, as amended.
April 30, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2024 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commiss
April 30, 2024	EX-99.1	LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended March 31, December 31, March 31, 2024 2023 Change 2023 Change REVENUE Advisory $ 1,199,811 $ 1,085,497 For Immediate Release LPL Financial Announces First Quarter 2024 Results Key Financial Results •Net Income was $289 million, translating to diluted earnings per share ("EPS") of $3.
March 28, 2024	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Ru
March 28, 2024	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ De
February 29, 2024	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (date of earliest event reported): February 26, 2024 LPL Financial Holdings Inc.
February 21, 2024	EX-10.15	Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan, as amended February 9, 2024.* Exhibit 10.15 Name: [●] Target Number of PSUs: [●] Date of Grant: [●] EMPLOYEE PERFORMANCE STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the “Agreement”) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the “Company”), to the individual named above (the “Participant”) pursuant to and subject
February 21, 2024	EX-22.1	subsidiary guarantors and issuers of guaranteed se Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of December 31, 2023, LPL Financial Holdings Inc., a Delaware corporation, has fully and unconditionally guaranteed the 6.750% Senior Notes due 2028 issued by LPL Holdings, Inc., a Massachusetts corporation, pursuant to an offering registered under the Securities Act of 1933, as amended.
February 21, 2024	EX-21.1	List of Subsidiaries of LPL Financial Holdings Inc.* Exhibit 21.1 Subsidiaries of Registrant Subsidiary Entity Name Jurisdiction of Incorporation Name Under Which the Subsidiary Does Business 1. LPL Holdings, Inc. Massachusetts LPL 2. PTC Holdings, Inc. Ohio PTC 3. The Private Trust Company, N.A. Ohio PTC 4. LPL Financial LLC California LPL, LPL Financial 5. LPL Insurance Associates, Inc. Delaware LPL, LPL Financial 6. AW Subsidiary, Inc.** Dela
February 21, 2024	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-34963 LPL Financial Holdings Inc
February 21, 2024	EX-97	PL Financial Holdings Inc. Clawback Policy.* Exhibit 97 LPL FINANCIAL HOLDINGS INC. Clawback Policy LPL Financial Holdings Inc. (the “Company”) has adopted this clawback policy (the “Policy”) to serve as the Company’s primary policy governing the recovery of Incentive-Based Compensation from Executive Officers in the event of a Restatement (as such terms are defined below). This Policy shall be interpreted to comply with the clawback rules f
February 21, 2024	EX-4.6	Description of Registrant’s Securities.* Exhibit 4.6 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description of our common stock is a summary and does not purport to be complete. It is subject to and qualified in its entirety by reference to our Amended and Restated Certificate of Incorporation (our “Certificate”) and our Seventh Amended and Restated Bylaws
February 20, 2024	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (date of earliest event reported): February 15, 2024 LPL Financial Holdings Inc.
February 20, 2024	EX-3.1	Seventh Amended and Restated Bylaws of LPL Financial Holdings Inc. (incorporated by reference to the Form 8-K filed on February 20, 2024, File No. 001-34963). Exhibit 3.1 LPL FINANCIAL HOLDINGS INC. (the “Corporation”) SEVENTH AMENDED AND RESTATED BYLAWS SECTION 1 — STOCKHOLDERS Section 1.1. Annual Meeting. An annual meeting of the stockholders for the election of directors to succeed those whose term expire and for the transaction of such other business as may properly come before the meeting shall be held at the place, if any, within or without the St
February 13, 2024	SC 13G/A	LPLA / LPL Financial Holdings Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv01369-lplfinancialholdings.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 10)* Name of issuer: LPL Financial Holdings Inc Title of Class of Securities: Common Stock CUSIP Number: 50212V100 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate bo
February 13, 2024	EX-99.1	LPL FINANCIAL TO ACQUIRE ATRIA WEALTH SOLUTIONS Atria Wealth Solutions supports approximately 2,400 advisors and 150 banks and credit unions, managing approximately $100 billion of brokerage and advisory assets. EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE LPL FINANCIAL TO ACQUIRE ATRIA WEALTH SOLUTIONS Atria Wealth Solutions supports approximately 2,400 advisors and 150 banks and credit unions, managing approximately $100 billion of brokerage and advisory assets. SAN DIEGO – Feb. 13, 2024 – LPL Financial Holdings Inc. (NASDAQ: LPLA) (together with its subsidiaries, including LPL Financial LLC, “LPL Financi
February 13, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 13, 2024 LPL Financial H UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 13, 2024 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Comm
February 1, 2024	EX-99.1	LPL Financial Holdings Inc. Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended December 31, September 30, December 31, 2023 2023 Change 2022 Change REVENUE Advisory $ 1,085,497 $ 1,081,562 — For Immediate Release LPL Financial Announces Fourth Quarter and Full Year 2023 Results Fourth Quarter 2023 Key Financial Results •Net Income was $218 million, translating to diluted earnings per share ("EPS") of $2.
February 1, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 1, 2024 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commi
November 17, 2023	EX-4.1	Indenture, dated November 17, 2023, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as trustee (incorporated by reference to Exhibit 4.1 to the Guarantor’s Current Report on Form 8-K filed on November 17, 2023) Exhibit 4.1 LPL HOLDINGS, INC., as Company, LPL FINANCIAL HOLDINGS INC., as Parent Guarantor and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee INDENTURE Dated as of November 17, 2023 CROSS-REFERENCE TABLE TIA Section Indenture Section 310 (a)(1) 8.9 (a)(2) 8.9 (a)(3) N/A (a)(4) N/A (a)(5) 8.9 (b) 8.8; 8.9 (c) N/A 311 (a) 8.13 (b) 8.13 (c) N/A 312 (a) 9.1 (b) 9.2 (c) 9.2 313 (a) 9.3 (b)
November 17, 2023	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 17, 2023 LPL Financial Holdings Inc.
November 17, 2023	EX-4.2	First Supplemental Indenture, dated as of November 17, 2023, among LPL Holdings, U.S. Bank Trust Company, National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors (incorporated by reference to the Form 8-K filed on November 17, 2023, File No. 001-34963). Exhibit 4.2 FIRST SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of November 17, 2023 among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and th
November 13, 2023	424B5	$750,000,000 LPL Holdings, Inc. 6.750% Senior Notes due 2028 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) File Numbers 333-274631 and 333-274631-02 Prospectus Supplement (To Prospectus dated November 1, 2023) $750,000,000 LPL Holdings, Inc.
November 9, 2023	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2023 LPL Financial Holdings Inc.
November 9, 2023	EX-1.1	Underwriting Agreement, dated November 8, 2023, among LPL Holdings, the Company, Citigroup Global Markets Inc., J.P. Morgan Securities LLC, Morgan Stanley & Co. LLC and U.S. Bancorp Investments, Inc., as representatives of the several underwriters named in Schedule 1 thereto Exhibit 1.1 Execution Version $750,000,000 LPL Holdings, Inc. 6.750% Senior Notes due 2028 Underwriting Agreement November 8, 2023 Citigroup Global Markets Inc. 388 Greenwich Street New York, New York 10013 J.P. Morgan Securities LLC 383 Madison Avenue New York, New York 10179 Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 U.S. Bancorp Investments, Inc. 214 N. Tryon St. 26th Floor
November 8, 2023	424B5	SUBJECT TO COMPLETION, DATED NOVEMBER 8, 2023 Table of Contents Filed Pursuant to Rule 424(b)(5) File Number 333-274631 The information in this preliminary prospectus supplement is not complete and may be changed.
November 8, 2023	FWP	LPL Holdings, Inc. $750,000,000 6.750% Senior Notes due 2028 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet Free Writing Prospectus Filed Pursuant to Rule 433 Registration Nos. 333-274631 and 333-274631-02 November 8, 2023 LPL Holdings, Inc. $750,000,000 6.750% Senior Notes due 2028 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet This pricing term sheet (this “Pricing Term Sheet”) is qualified in its entirety by reference to the preliminary prospe
October 31, 2023	EX-10.1	, among LPL Financial Holdings Inc., LPL Holdings, Inc., certain subsidiaries of the Company, as Subsidiary Guarantors (as defined therein), the Incremental Revolving Lenders (as defined therein), JPMorgan Chase Bank, N.A., as administrative agent and collateral agent, letter of credit issuer and swingline lender, and the lenders and parties party thereto from time to time (incorporated by reference to the Form Exhibit 10.1 Execution Version ………………………………………… SEVENTH AMENDMENT dated as of July 18, 2023 among LPL FINANCIAL HOLDINGS INC., as Holdings, LPL HOLDINGS, INC., as Borrower, CERTAIN SUBSIDIARIES OF LPL FINANCIAL HOLDINGS INC., as Subsidiary Guarantors, ………………………………………… the INCREMENTAL REVOLVING Lenders Party Hereto, JPMorgan Chase Bank, N.A., as Administrative Agent, JPMorgan Chase Bank, N.A., CITI
October 31, 2023	EX-22.1	List of Subsidiary Guarantors and Issuers of Guaranteed Securities Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities LPL Financial Holdings Inc. will fully and unconditionally guarantee the debt securities that may be issued by LPL Holdings, Inc., a subsidiary of LPL Financial Holdings Inc., pursuant to a Registration Statement on Form S-3 (File No. 333-274631).
October 31, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL F
October 30, 2023	CORRESP	LPL FINANCIAL HOLDINGS INC. LPL HOLDINGS, INC. 4707 Executive Drive San Diego, CA 92121 LPL FINANCIAL HOLDINGS INC. LPL HOLDINGS, INC. 4707 Executive Drive San Diego, CA 92121 October 30, 2023 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Robert Arzonetti & Susan Block Re: LPL Financial Holdings Inc. LPL Holdings, Inc. Registration Statement on Form S-3 (File No. 333-274631) Request for Acceleration
October 27, 2023	EX-22.1	List of Subsidiary Guarantors and Issuers of Guaranteed Securities (filed herewith) Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities LPL Financial Holdings Inc. will fully and unconditionally guarantee the debt securities issued by LPL Holdings, Inc., a subsidiary of LPL Financial Holdings Inc., pursuant to the registration statement of which this Exhibit 22.1 is a part.
October 27, 2023	CORRESP	October 27, 2023 October 27, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Robert Arzonetti & Susan Block Re: LPL Financial Holdings Inc. Registration Statement on Form S-3 Filed September 22, 2023 File No. 333-274631 Dear Mr. Arzonetti and Ms. Block: On behalf of LPL Financial Holdings Inc. (“LPL” or the “Company”), we h
October 27, 2023	S-3/A	As filed with the Securities and Exchange Commission on October 27, 2023 As filed with the Securities and Exchange Commission on October 27, 2023 Registration No.
October 27, 2023	EX-FILING FEES	Filing Fee Table (filed herewith) EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) LPL Financial Holdings Inc.
October 26, 2023	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2023 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commi
October 26, 2023	EX-99.1	LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended September 30, June 30, September 30, 2023 2023 Change 2022 Change REVENUE Advisory $ 1,081,562 $ 1,014 For Immediate Release LPL Financial Announces Third Quarter 2023 Results Key Financial Results •Net Income was $224 million, translating to diluted earnings per share ("EPS") of $2.
October 17, 2023	CORRESP	ROPES & GRAY LLP ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW.ROPESGRAY.COM October 17, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Robert Arzonetti & Susan Block Re: LPL Financial Holdings Inc. Registration Statement on Form S-3 Filed September 22, 2023 File No. 333-274631 Dear Mr. Ar
October 17, 2023	EX-4.2	Form of Indenture (filed herewith) Exhibit 4.2 LPL HOLDINGS, INC., as Company, LPL Financial Holdings Inc., as Guarantor and [ ], as Trustee INDENTURE Dated as of [ ] CROSS-REFERENCE TABLE TIA Section Indenture Section 310 (a)(1) 8.9 (a)(2) 8.9 (a)(3) N/A (a)(4) N/A (a)(5) 8.9 (b) 8.8; 8.9 (c) N/A 311 (a) 8.13 (b) 8.13 (c) N/A 312 (a) 9.1 (b) 9.2 (c) 9.2 313 (a) 9.3 (b)(1) 9.3 (b)(2) 9.3 (c) 9.3 (d) 9.3 314 (a) 9.4 (b) N/A (c)(1) 1
October 17, 2023	EX-FILING FEES	Filing Fee Table Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) LPL Financial Holdings Inc.
October 17, 2023	S-3/A	As filed with the Securities and Exchange Commission on October 17, 2023 Table of Contents As filed with the Securities and Exchange Commission on October 17, 2023 Registration No.
September 22, 2023	EX-3.11	Certificate of Amendment of Certificate of Incorporation of Independent Advisers Group Corporation, dated January 6, 2020 (filed herewith) Exhibit 3.11 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION Independent Advisers Group Corporation (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify: FIRST: That, by unanimous written consent of the board of directors of the Corporation in accordance with Sections 141 and 242(a)(1) of
September 22, 2023	EX-3.12	Amended and Restated Bylaws of LPL Capital Partners, Inc. (filed herewith) Exhibit 3.12 AMENDED AND RESTATED BY-LAWS OF LPL CAPITAL PARTNERS, INC. ARTICLE I - STOCKHOLDERS Section 1. Annual Meeting. An annual meeting of the stockholders, for the election of directors to succeed those whose terms expire and for the transaction of such other business as may properly come before the meeting, shall be held at ten o’clock a.m. or such other time as is determined by the Board
September 22, 2023	EX-3.15	Certificate of Amendment of Restated Certificate of Incorporation of PHL Associates, Inc., dated June 18, 2001 (filed herewith) Exhibit 3.15 CERTIFICATE OF AMENDMENT OF RESTATED CERTIFICATE OF INCORPORATION OF PHL ASSOCIATES, INC. PHL Associates, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, hereby certifies as follows: FIRST: That the Board of Directors of said corporation, by the unanimous written consent of its directors, filed with the minutes of
September 22, 2023	EX-3.9	Certificate of Correction Filed to Correct a Certain Error in the Certificate of Incorporation of Independent Advisors Group Corporation, dated April 4, 1996 (filed herewith) Exhibit 3.9 CERTIFICATE OF CORRECTION FILED TO CORRECT A CERTAIN ERROR IN THE CERTIFICATE OF INCORPORATION OF INDEPENDENT ADVISORS GROUP CORPORATION FILED IN THE OFFICE OF THE SECRETARY OF STATE OF DELAWARE ON DECEMBER 5, 1995. Independent Advisor Group Corporation, a corporation organized and existing under any by virtue of the General Corporation, Law of the State of Delaware. DOES HEREBY CERTIF
September 22, 2023	EX-3.18	Amended and Restated Bylaws of LPL Insurance Associates, Inc. (filed herewith) Exhibit 3.18 AMENDED AND RESTATED BYLAWS OF LPL INSURANCE ASSOCIATES, INC. ARTICLE I Offices Section 1. The registered office shall be in the City of Wilmington, County of New Castle, State of Delaware. Section 2. The corporation may also have offices at such other places both within and without the State of Delaware as the board of directors may from time to time determine or the business of the
September 22, 2023	EX-3.14	Certificate of Ownership Merging PHL Associates Insurance Agency of OH, Inc. with and into PHL Associates, Inc., dated June 16, 2000 (filed herewith) Exhibit 3.14 STATE OF DELAWARE CERTIFICATE OF OWNERSHIP Subsidiary into Parent Section 253 CERTIFICATE OF OWNERSHIP MERGING PHL ASSOCIATES INSURANCE AGENCY OF OH, INC. WITH AND INTO PHL ASSOCIATES, INC. Pursuant to §253 of the General Corporation Law of the State of Delaware, PHL Associates, Inc., a corporation organized under the laws of Delaware on October 13,1995, hereby certifies to the follow
September 22, 2023	EX-3.10	Certificate of Amendment of Certificate of Incorporation of Independent Advisers Group Corporation, dated May 10, 2013 (filed herewith) Exhibit 3.10 CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF INDEPENDENT ADVISERS GROUP CORPORATION Independent Advisers Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), DOES HEREBY CERTIFY: FIRST: That Section 4 of the Certificate of Incorporation (the “Certificate”) is hereby a
September 22, 2023	EX-3.17	Amended Certificate of Incorporation of Linsco/Private Ledger Insurance Associates, Inc., dated February 3, 2009 (filed herewith) Exhibit 3.17 AMENDED CERTIFICATE OF INCORPORATION Linsco/Private Ledger Insurance Associates, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, DOES HEREBY CERTIFY: FIRST: That the Board of Directors (the “Board”) of said corporation, by the unanimous written consent of its members filed with the minutes of the Board a resolutio
September 22, 2023	EX-3.8	Certificate of Incorporation of Independent Advisors Group Corporation, dated December 5, 1995 (filed herewith) Exhibit 3.8 CERTIFICATE OF INCORPORATION OF Independent Advisors Group Corporation A CLOSE CORPORATION 1. The name of the corporation is Independent Advisors Group Corporation, 2. The address of its registered office in the Stats of Delaware is Corporation Trust Center, 1209 Orange Street, in the City of Wilmington, County of New Castle, The name of its registered agent at such address is The Corp
September 22, 2023	EX-3.13	Restated Certificate of Incorporation of PHL Associates, Inc., dated May 1, 1996 (filed herewith) Exhibit 3.13 RESTATED CERTIFICATE OF INCORPORATION OF PHL ASSOCIATES, INC. PHL Associates, Inc., a corporation organized and existing under the laws of the State of Delaware, hereby certifies as follows: 1. The name of the corporation is PHL Associates, Inc. The date of filing of its original Certificate of Incorporation with the Secretary of State was October 13, 1995. 2. This Restated Certificat
September 22, 2023	EX-3.16	Certificate of Amendment of Restated Certificate of Incorporation of WS Griffith Associates, Inc., dated June 4, 2004 (filed herewith) Exhibit 3.16 CERTIFICATE OF AMENDMENT OF RESTATED CERTIFICATE OF INCORPORATION WS Griffith Associates, Inc, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, DOES HEREBY CERTIFY: FIRST: That the Board of Directors of said corporation, by unanimous written consent of the members, filed with the minutes of the Board, adopted a resolutio
September 22, 2023	EX-4.2	Form of Indenture (filed herewith) Exhibit 4.2 LPL HOLDINGS, INC., as Company, and [ ], as Trustee INDENTURE Dated as of [ ] CROSS-REFERENCE TABLE TIA Section Indenture Section 310 (a)(1) 8.9 (a)(2) 8.9 (a)(3) N/A (a)(4) N/A (a)(5) 8.9 (b) 8.8; 8.9 (c) N/A 311 (a) 8.13 (b) 8.13 (c) N/A 312 (a) 9.1 (b) 9.2 (c) 9.2 313 (a) 9.3 (b)(1) 9.3 (b)(2) 9.3 (c) 9.3 (d) 9.3 314 (a) 9.4 (b) N/A (c)(1) 1.2 (c)(2) 1.2 (c)(3) N/A (d) N/A (e) 1.2 (
September 22, 2023	S-3	As filed with the Securities and Exchange Commission on September 22, 2023 Table of Contents As filed with the Securities and Exchange Commission on September 22, 2023 Registration No.
September 22, 2023	EX-FILING FEES	Filing Fee Table Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) LPL Financial Holdings Inc.
September 22, 2023	EX-22.1	List of subsidiary guarantors and issuers of guaranteed securities (filed herewith) Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of the date of the registration statement of which this Exhibit 22.1 is a part, the following entities are guarantors of the 4.625% Senior Notes due 2027, the 4.000% Senior Notes due 2029 and the 4.375% Senior Notes due 2031, each issued by LPL Holdings, Inc., a subsidiary of LPL Financial Holdings Inc. In addition,
August 24, 2023	EX-99.1	PRUDENTIAL FINANCIAL AND LPL FINANCIAL SIGN STRATEGIC RELATIONSHIP AGREEMENT TO EXPAND RETAIL WEALTH MANAGEMENT CAPABILITIES AND DRIVE GROWTH Exhibit 99.1 For Immediate Release PRUDENTIAL FINANCIAL AND LPL FINANCIAL SIGN STRATEGIC RELATIONSHIP AGREEMENT TO EXPAND RETAIL WEALTH MANAGEMENT CAPABILITIES AND DRIVE GROWTH Newark, NJ and Charlotte, NC – August 24, 2023 – Prudential Financial, Inc. (NYSE: PRU) (“Prudential”) and LPL Financial Holdings Inc. (Nasdaq: LPLA) (“LPL”) today announced a strategic relationship agreement designed to en
August 24, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 24, 2023 LPL Financial Holdi UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 24, 2023 LPL Financial Holdings Inc.
August 1, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Financ
July 27, 2023	EX-99.1	LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended June 30, March 31, June 30, 2023 2023 Change 2022 Change REVENUE Advisory $ 1,014,565 $ 954,057 6 % $ For Immediate Release LPL Financial Announces Second Quarter 2023 Results Key Financial Results •Net Income was $286 million, translating to diluted earnings per share ("EPS") of $3.
July 27, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2023 LPL Financial Holdi UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2023 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commissi
May 12, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2023 LPL Financial Holdings UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2023 LPL Financial Holdings Inc.
May 2, 2023	EX-10.1	, among LPL Financial Holdings Inc., LPL Holdings, Inc., certain subsidiaries of the Company, as Subsidiary Guarantors (as defined therein), the Incremental Revolving Lenders (as defined therein), JPMorgan Chase Bank, N.A., as administrative agent and collateral agent, letter of credit issuer and swingline lender, and the lenders and parties party thereto from time to time (incorporated by reference to the Form Exhibit 10.1 Execution Version SIXTH AMENDMENT This SIXTH AMENDMENT (this “Agreement”), dated as of March 13, 2023, is made by and among LPL HOLDINGS, INC., a Massachusetts corporation (the “Borrower”), LPL FINANCIAL HOLDINGS INC., a Delaware corporation (“Holdings”), each subsidiary of the Borrower listed on the signature pages hereto (the “Subsidiary Guarantors”; the Subsidiary Guarantors, toget
May 2, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Finan
April 27, 2023	EX-99.1	LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended March 31, December 31, March 31, 2023 2022 Change 2022 Change REVENUE Advisory $ 954,057 $ 902,440 6 % For Immediate Release LPL Financial Announces First Quarter 2023 Results Key Financial Results •Net Income was $339 million, translating to diluted earnings per share ("EPS") of $4.
April 27, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2023 LPL Financial Holdin UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2023 LPL Financial Holdings Inc.
April 10, 2023	SC 13G/A	LPLA / LPL Financial Holdings Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 9)* Name of issuer: LPL Financial Holdings Inc. Title of Class of Securities: Common Stock CUSIP Number: 50212V100 Date of Event Which Requires Filing of this Statement: March 31, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is fil
March 30, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) DEFA14A 1 d428387ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as
March 30, 2023	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14
February 23, 2023	EX-4.4	Exhibit 4.4 Exhibit 4.4 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description of our common stock is a summary and does not purport to be complete. It is subject to and qualified in its entirety by reference to our Amended and Restated Certificate of Incorporation (our “Certificate”) and our Sixth Amended and Restated Bylaws (
February 23, 2023	EX-21.1	List of Subsidiaries of LPL Financial Holdings Inc.* Exhibit 21.1 Subsidiaries of Registrant Subsidiary Entity Name Jurisdiction of Incorporation Name Under Which the Subsidiary Does Business 1. LPL Holdings, Inc. Massachusetts LPL 2. PTC Holdings, Inc. Ohio PTC 3. The Private Trust Company, N.A. Ohio PTC 4. LPL Financial LLC California LPL, LPL Financial 5. LPL Insurance Associates, Inc. Delaware LPL, LPL Financial 6. Fortigent Holdings Company
February 23, 2023	EX-10.13	Form of Employee Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan, as amended February 6, 2023 Exhibit 10.13 Name: [●] Number of Restricted Stock Units: [●] Date of Grant: [●] EMPLOYEE RESTRICTED STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the “Agreement”) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the “Company”), to the individual named above (the “Participant”) pursuant to an
February 23, 2023	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-34963 LPL Financial Holdings Inc
February 16, 2023	EX-99.1	LPL FINANCIAL REALIGNS ORGANIZATION IN SUPPORT OF CLIENT EXPERIENCE Managing Directors Matt Enyedi, Matt Audette take expanded roles to enrich how advisors and institutions interact with the firm Exhibit 99.1 LPL FINANCIAL REALIGNS ORGANIZATION IN SUPPORT OF CLIENT EXPERIENCE Managing Directors Matt Enyedi, Matt Audette take expanded roles to enrich how advisors and institutions interact with the firm CHARLOTTE, N.C. – February 16, 2023 – LPL Financial LLC announced today Managing Directors Matt Enyedi and Matt Audette will assume expanded roles centered around client interactions and oper
February 16, 2023	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 13, 2023 Date of report (date of earliest event reported) LPL Financial Holdings Inc.
February 9, 2023	SC 13G/A	LPLA / LPL Financial Holdings Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv01334-lplfinancialholdings.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 8)* Name of issuer: LPL Financial Holdings Inc. Title of Class of Securities: Common Stock CUSIP Number: 50212V100 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate bo
February 2, 2023	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 2, 2023 LPL Financial Holdings Inc.
February 2, 2023	EX-99.1	LPL Financial Holdings Inc. Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended December 31, September 30, December 31, 2022 2022 Change 2021 Change REVENUE Advisory $ 902,440 $ 923,766 (2 %) EX-99.1 2 a2022q4earningsrelease.htm EX-99.1 For Immediate Release LPL Financial Announces Fourth Quarter and Full Year 2022 Results Fourth Quarter 2022 Key Financial Results •Net Income was $319 million, translating to diluted earnings per share ("EPS") of $3.95, up 199% from a year ago •EPS prior to amortization of intangible assets and acquisition costs* increased 158% year-over-year to $4.21 ◦
January 11, 2023	EX-99.1	ALBERT KO ELECTED TO LPL FINANCIAL BOARD OF DIRECTORS Exhibit 99.1 For Immediate Release ALBERT KO ELECTED TO LPL FINANCIAL BOARD OF DIRECTORS CHARLOTTE, N.C. – January 11, 2023 – LPL Financial Holdings, Inc. (NASDAQ: LPLA) today announced that Albert “Al” Ko has been elected to the company’s board of directors as an additional independent director. Ko serves as chief executive officer of Early Warning Services, LLC, a financial technology company ow
January 11, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 9, 2023 LPL Financial Holdi UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 9, 2023 LPL Financial Holdings Inc.
November 1, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL F
October 27, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 27, 2022 LPL Financial Holdings Inc.
October 27, 2022	EX-99.1	LPL Financial Announces Third Quarter 2022 Results For Immediate Release LPL Financial Announces Third Quarter 2022 Results Key Financial Results ?Net Income was $232 million, translating to diluted earnings per share ("EPS") of $2.
August 4, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Financ
August 4, 2022	EX-10.1	LPL Financial Holdings Inc. Non-Employee Director Compensation Policy, as amended May 18, 2022 (incorporated by reference to the Form 10-Q filed on August 4, 2022, File No. 001-34963). Exhibit 10.1 LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy Annual Retainer ?All non-employee directors receive an annual retainer of $255,000, which is paid in advance on the next business day following the Company?s annual meeting of stockholders (the ?Annual Payment Date?). Of this amount, $100,000 is paid in a lump sum in cash and $155,000 is paid in the form of restrict
August 2, 2022	EX-99.1	LPL Financial Announces Second Quarter 2022 Results For Immediate Release LPL Financial Announces Second Quarter 2022 Results Key Financial Results •Net Income was $161 million, translating to diluted earnings per share ("EPS") of $1.
August 2, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2022 LPL Financial Holdings Inc.
June 14, 2022	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2022 LPL Financial Holdings Inc.
May 18, 2022	8-K	Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 18, 2022 LPL Financial Holdings Inc.
May 3, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Finan
April 28, 2022	EX-99.1	LPL Financial Announces First Quarter 2022 Results Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (813) 351-9203 investor.
April 28, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2022 LPL Financial Holdings Inc.
April 8, 2022	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) DEFA14A 1 d299029ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as
April 8, 2022	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14
February 23, 2022	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 16, 2022 LPL Financial Holdings Inc.
February 23, 2022	EX-3.1	Sixth Amended and Restated Bylaws of LPL Financial Holdings Inc. (incorporated by reference to the Form 8-K filed on February 23, 2022, File No. 001-34963) Exhibit 3.1 LPL FINANCIAL HOLDINGS INC. (the ?Corporation?) SIXTH AMENDED AND RESTATED BYLAWS SECTION 1 ? STOCKHOLDERS Section 1.1. Annual Meeting. An annual meeting of the stockholders for the election of directors to succeed those whose term expire and for the transaction of such other business as may properly come before the meeting shall be held at the place, if any, within or without the Stat
February 22, 2022	EX-10.17	LPL Financial Holdings Inc. Non-Employee Director Deferred Compensation Plan, as amended May 5, 2021 (incorporated by reference to the Form 10-K filed on February 22, 2022, File No. 001-34963). Exhibit 10.17 LPL FINANCIAL HOLDINGS INC. NON-EMPLOYEE DIRECTOR DEFERRED COMPENSATION PLAN Amended as of May 5, 2021 1.DEFINED TERMS Exhibit A, which is incorporated by reference, defines the terms used in this Plan and sets forth certain operational rules relating to those terms. 2.PURPOSE; EFFECTIVE DATE The purpose of the Plan is to enable Directors to defer the receipt of certain compensation
February 22, 2022	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-34963 LPL Financial Holdings Inc
February 22, 2022	EX-10.18	LPL Financial Holdings Inc. Non-Employee Director Compensation Policy, as amended May 5, 2021.* Exhibit 10.18 LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy Annual Retainer ?All non-employee directors receive an annual retainer of $235,000, which is paid in advance on the next business day following the Company?s annual meeting of stockholders (the ?Annual Payment Date?). Of this amount, $80,000 is paid in a lump sum in cash and $155,000 is paid in the form of restrict
February 22, 2022	EX-21.1	List of Subsidiaries of LPL Financial Holdings Inc.* Exhibit 21.1 Subsidiaries of Registrant Subsidiary Entity Name Jurisdiction of Incorporation Name Under Which the Subsidiary Does Business 1. LPL Holdings, Inc. Massachusetts LPL 2. PTC Holdings, Inc. Ohio PTC 3. The Private Trust Company, N.A. Ohio PTC 4. LPL Financial LLC California LPL, LPL Financial 5. LPL Insurance Associates, Inc. Delaware LPL, LPL Financial 6. Fortigent Holdings Company
February 10, 2022	SC 13G/A	LPLA / LPL Financial Holdings Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 7)* Name of issuer: LPL Financial Holdings Inc. Title of Class of Securities: Common Stock CUSIP Number: 50212V100 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is
February 4, 2022	SC 13G/A	LPLA / LPL Financial Holdings Inc / WELLINGTON MANAGEMENT GROUP LLP - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* LPL Financial Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 50212V100 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which
February 3, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2022 LPL Financial Holdings Inc.
February 3, 2022	EX-99.1	LPL Financial Announces Fourth Quarter and Full Year 2021 Results Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (813) 351-9203 investor.
November 2, 2021	EX-10.7	Leave Letter Agreement between LPL Financial LLC and Scott Seese, dated February 25, 2021.* Exhibit 10.7 4707 Executive Drive San Diego, CA 92121 February 25, 2021 Scott Seese Managing Director, Chief Information Officer LPL Financial LLC 1055 LPL Way Fort Mill, SC 29715 Re: Leave of absence Dear Scott, Your colleagues at LPL Financial LLC (?LPL,? ?we? or the ?Company?) extend their thoughts as you care for your family member during this difficult time. As discussed, this letter memorial
November 2, 2021	EX-10.6	Form of Financial Institution Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan* Exhibit 10.6 Name: [?] Number of Restricted Stock Units: [?] Date of Grant: [?] FINANCIAL INSTITUTION STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to a
November 2, 2021	EX-10.4	Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan* Exhibit 10.4 Name: [?] Target Number of PSUs: [?] Date of Grant: [?] EMPLOYEE PERFORMANCE STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to and subject t
November 2, 2021	EX-10.3	Form of Employee Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan* Exhibit 10.3 Name: [?] Number of Restricted Stock Units: [?] Date of Grant: [?] EMPLOYEE RESTRICTED STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to and
November 2, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL F
November 2, 2021	EX-10.5	Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan* Exhibit 10.5 Name: [?] Number of Restricted Stock Units: [?] Date of Grant: [?] ADVISOR RESTRICTED STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to and
October 28, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2021 LPL Financial Holdings Inc.
October 28, 2021	EX-99.1	LPL Financial Announces Third Quarter 2021 Results Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (813) 351-9203 investor.
August 3, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Financ
August 3, 2021	EX-10.6	Form of Financial Institution Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan* Exhibit 10.6 Name: [?] Number of Restricted Stock Units: [?] Date of Grant: [?] FINANCIAL INSTITUTION STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to a
August 3, 2021	EX-10.3	Form of Employee Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan (incorporated by reference to the Form 10-Q filed on August 3, 2021, File No. 001-34963). Exhibit 10.3 Name: [?] Number of Restricted Stock Units: [?] Date of Grant: [?] EMPLOYEE RESTRICTED STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to and
August 3, 2021	EX-10.4	Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan (incorporated by reference to the Form 10-Q filed on August 3, 2021, File No. 001-34963). Exhibit 10.4 Name: [?] Target Number of PSUs: [?] Date of Grant: [?] EMPLOYEE PERFORMANCE STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to and subject t
August 3, 2021	EX-10.5	Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan* Exhibit 10.5 Name: [?] Number of Restricted Stock Units: [?] Date of Grant: [?] ADVISOR RESTRICTED STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to and
July 30, 2021	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2021 LPL Financial Holdings Inc.
July 30, 2021	EX-99.1	GREG GATES NAMED MANAGING DIRECTOR, CHIEF TECHNOLOGY & INFORMATION OFFICER FOR LPL FINANCIAL Exhibit 99.1 For Immediate Release GREG GATES NAMED MANAGING DIRECTOR, CHIEF TECHNOLOGY & INFORMATION OFFICER FOR LPL FINANCIAL CHARLOTTE, N.C. ? July 30, 2021 ? LPL Financial LLC announced today that Greg Gates has been named managing director and Chief Technology & Information Officer, effective immediately. In this role, Gates will oversee all aspects of the firm?s technology and systems applic
July 29, 2021	EX-99.1	LPL Financial Announces Second Quarter 2021 Results Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (813) 351-9203 investor.
July 29, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2021 LPL Financial Holdings Inc.
June 2, 2021	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 2, 2021 LPL Financial Holdings Inc.
May 18, 2021	EX-4.1	Indenture, dated as of May 18, 2021, among LPL Holdings, U.S. Bank National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors (incorporated by reference to the Form 8-K filed on May 18, 2021, File No. 001-34963). Exhibit 4.1 Execution Version INDENTURE Dated as of May 18, 2021 Among LPL HOLDINGS, INC., THE GUARANTORS NAMED ON THE SIGNATURE PAGES HERETO and U.S. BANK NATIONAL ASSOCIATION, as Trustee 4.375% SENIOR NOTES DUE 2031 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS Section 1.01 Definitions 1 Section 1.02 Other Definitions 50 Section 1.03 Rules of Construction 50 Section 1.04 Acts of Holders 51 Sectio
May 18, 2021	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 18, 2021 LPL Financial Holdings Inc.
May 18, 2021	EX-99.1	LPL FINANCIAL ANNOUNCES COMPLETION OF SENIOR UNSECURED NOTES OFFERING Exhibit 99.1 Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (980) 321-1232 LPL FINANCIAL ANNOUNCES COMPLETION OF SENIOR UNSECURED NOTES OFFERING SAN DIEGO ? May 18, 2021 ? LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that its wholly owned subsidiary, LPL Holdings, Inc. (?LPL Holdings?), has completed its previously anno
May 11, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2021 LPL Financial Holdings Inc.
May 11, 2021	EX-99.2	LPL FINANCIAL ANNOUNCES PRICING OF SENIOR UNSECURED NOTES OFFERING Exhibit 99.2 Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (980) 321-1232 LPL FINANCIAL ANNOUNCES PRICING OF SENIOR UNSECURED NOTES OFFERING SAN DIEGO ? May 10, 2021 ? LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that its wholly owned subsidiary, LPL Holdings, Inc. (?LPL Holdings?), has priced its offering of $400 mill
May 11, 2021	EX-99.1	LPL FINANCIAL ANNOUNCES PROPOSED SENIOR UNSECURED NOTES OFFERING Exhibit 99.1 Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (980) 321-1232 investor.lpl.com/contact-us LPL FINANCIAL ANNOUNCES PROPOSED SENIOR UNSECURED NOTES OFFERING SAN DIEGO ? May 10, 2021 ? LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that its wholly owned subsidiary, LPL Holdings, Inc. (?LPL Holdings?), intends to
May 7, 2021	S-8 POS	- S-8 POS As filed with the Securities and Exchange Commission on May 7, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 POST-EFFECTIVE AMENDMENT NO.
May 5, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2021 LPL Financial Holdings Inc.
May 5, 2021	EX-10.2	LPL Financial Holdings Inc. 2021 Employee Stock Purchase Plan (Incorporated by reference to the Form 8-K filed on May 5, 2021). EX-10.2 3 d249750dex102.htm EX-10.2 Exhibit 10.2 LPL FINANCIAL HOLDINGS INC. 2021 EMPLOYEE STOCK PURCHASE PLAN 1. Defined Terms Exhibit A, which is incorporated by reference, defines the terms used in the Plan and sets forth certain operational rules related to those terms. 2. Purpose of Plan The Plan is intended to enable Eligible Employees to use payroll deductions to purchase shares of Stock in
May 5, 2021	EX-10.1	LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed on May 5, 2021 (File No. 001-34963)). Exhibit 10.1 LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN 1. DEFINED TERMS Exhibit A, which is incorporated by reference, defines certain terms used in the Plan and includes certain operational rules related to those terms. 2. PURPOSE The Plan has been established to advance the interests of the Company by providing for the grant to Participants of Stock and Stock-based Awards. 3
May 5, 2021	S-8	- S-8 As filed with the Securities and Exchange Commission on May 5, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 LPL Financial Holdings Inc.
May 4, 2021	10-Q	Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Finan
May 4, 2021	EX-10.2	BETA Services First Amended and Restated Master Subscription Agreement, dated as of January 29, 2021, between LPL Financial LLC and Refinitiv US LLC (incorporated by reference to the Form 10-Q filed on May 4, 2021, File No. 001-34963).† Exhibit 10.2 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [**], HAS BEEN OMITTED BECAUSE IT IS NOT MATERIAL AND IS THE TYPE THAT LPL FINANCIAL HOLDINGS INC. TREATS AS PRIVATE OR CONFIDENTIAL BETA SERVICES FIRST AMENDED AND RESTATED MASTER SUBSCRIPTION AGREEMENT This BETA Services First Amended and Restated Master Subscription Agreement (this ?Agreement?) is entered into b
April 30, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 30, 2021 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commiss
April 30, 2021	EX-99.1	LPL FINANCIAL CLOSES ACQUISITION OF WADDELL & REED’S WEALTH MANAGEMENT BUSINESS EX-99.1 Exhibit 99.1 Investor Relations – Chris Koegel, (617) 897-4574 For Immediate Release Media Relations – Lauren Hoyt-Williams, (813) 351-9203 investor.lpl.com/contact-us LPL FINANCIAL CLOSES ACQUISITION OF WADDELL & REED’S WEALTH MANAGEMENT BUSINESS SAN DIEGO – April 30, 2021 – LPL Financial Holdings Inc. (Nasdaq: LPLA) (the “Company”), the parent corporation of LPL Financial LLC, a leading
April 29, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2021 LPL Financial Holdings Inc.
April 29, 2021	EX-99.1	LPL Financial Announces First Quarter 2021 Results Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (813) 351-9203 investor.
March 30, 2021	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2021 LPL Financial Holdings Inc.
March 22, 2021	DEF 14A	- DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14
March 22, 2021	DEFA14A	- DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin
March 15, 2021	EX-10.1	Fifth Amendment, dated March 15, 2021, among LPL Financial Holdings Inc., LPL Holdings, Inc., certain subsidiaries of the Company, as Subsidiary Guarantors (as defined therein), the Incremental Revolving Lenders (as defined therein), JPMorgan Chase Bank, N.A., as administrative agent and collateral agent, letter of credit issuer and swingline lender, and the lenders and parties party thereto from time to time (incorporated by reference to the Form 8-K filed on March 15, 2021, File No. 001-34963). Exhibit 10.1 Execution Version FIFTH AMENDMENT dated as of March 15, 2021 among LPL FINANCIAL HOLDINGS INC., as Holdings, LPL HOLDINGS, INC., as Borrower, CERTAIN SUBSIDIARIES OF LPL FINANCIAL HOLDINGS INC., as Subsidiary Guarantors, THE INCREMENTAL REVOLVING LENDERS PARTY HERETO, JPMORGAN CHASE BANK, N.A., as Administrative Agent, JPMORGAN CHASE BANK, N.A. CITIBANK, N.A. US BANK NATIONAL ASSOCIAT
March 15, 2021	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2021 LPL Financial Holdings Inc.
March 15, 2021	EX-99.1	LPL FINANCIAL ANNOUNCES COMPLETION OF LEVERAGE-NEUTRAL TRANSACTION AMENDING SENIOR SECURED CREDIT FACILITIES AND OFFERING SENIOR UNSECURED NOTES Exhibit 99.1 Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (980) 321-1232 LPL FINANCIAL ANNOUNCES COMPLETION OF LEVERAGE-NEUTRAL TRANSACTION AMENDING SENIOR SECURED CREDIT FACILITIES AND OFFERING SENIOR UNSECURED NOTES SAN DIEGO ? March 15, 2021 ? LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that its wholly owned subsi
March 15, 2021	EX-4.1	Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors (incorporated by reference to the Form 8-K filed on March 15, 2021, File No. 001-34963). Exhibit 4.1 Execution Version INDENTURE Dated as of March 15, 2021 Among LPL HOLDINGS, INC., THE GUARANTORS NAMED ON THE SIGNATURE PAGES HERETO and U.S. BANK NATIONAL ASSOCIATION, as Trustee 4.000% SENIOR NOTES DUE 2029 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS Section 1.01 Definitions 1 Section 1.02 Other Definitions 49 Section 1.03 Rules of Construction 50 Section 1.04 Acts of Holders 51 Sect
March 5, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 4, 2021 LPL Financial Holdings Inc.
March 5, 2021	EX-99.2	LPL FINANCIAL ANNOUNCES PRICING OF SENIOR UNSECURED NOTES OFFERING Exhibit 99.2 Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (980) 321-1232 LPL FINANCIAL ANNOUNCES PRICING OF SENIOR UNSECURED NOTES OFFERING SAN DIEGO ? March 4, 2021 ? LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that its wholly owned subsidiary, LPL Holdings, Inc. (?LPL Holdings?), has priced its offering of $900 mil
March 5, 2021	EX-99.1	LPL FINANCIAL ANNOUNCES PROPOSED LEVERAGE-NEUTRAL TRANSACTION TO REFINANCE ITS SENIOR UNSECURED NOTES Exhibit 99.1 Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (980) 321-1232 investor.lpl.com/contact-us LPL FINANCIAL ANNOUNCES PROPOSED LEVERAGE-NEUTRAL TRANSACTION TO REFINANCE ITS SENIOR UNSECURED NOTES SAN DIEGO ? March 4, 2021 ? LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that its wholly owned subsidiary, LPL Holdi
February 23, 2021	10-K	Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34963 LPL Financial Holdings Inc
February 23, 2021	EX-10.25	LPL Financial Holdings Inc. 2012 Employee Stock Purchase Plan, as amended and restated, effective as of October 29 Exhibit 10.25 LPL FINANCIAL HOLDINGS INC. 2012 EMPLOYEE STOCK PURCHASE PLAN (as amended and restated effective as of October 29, 2019) Section 1. Defined Terms Exhibit A, which is incorporated by reference, defines the terms used in the Plan and sets forth certain operational rules related to those terms. Section 2. Purpose of Plan The Plan is intended to enable Eligible Employees of LPL and its S
February 23, 2021	EX-10.24	BETAHost Master Subscription Agreement dated as of January 5, 2009 between LPL Financial Corporation and Refinitiv US LLC (f/k/a Thomson Financial LLC), as amended. (incorporated by reference to the Form 10-K filed on February Exhibit 10.24 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [**], HAS BEEN OMITTED BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM TO LPL FINANCIAL HOLDINGS INC. IF PUBLICLY DISCLOSED Thomson Transaction Services MASTER SUBSCRIPTION AGREEMENT This Master Subscription Agreement (this ?Agreement?) is entered into by and between Thomson Transaction Services
February 23, 2021	EX-21.1	List of Subsidiaries of LPL Financial Holdings Inc.* Exhibit 21.1 Subsidiaries of Registrant Subsidiary Entity Name Jurisdiction of Incorporation Name Under Which the Subsidiary Does Business 1. LPL Holdings, Inc. Massachusetts LPL 2. PTC Holdings, Inc. Ohio PTC 3. The Private Trust Company, N.A. Ohio PTC 4. LPL Financial LLC California LPL, LPL Financial 5. LPL Insurance Associates, Inc. Delaware LPL, LPL Financial 6. Fortigent Holdings Company
February 17, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2021 LPL Financial Holdings Inc.
February 16, 2021	EX-99.1	253496-1 LPL FINANCIAL ANNOUNCES MANAGING DIRECTOR SCOTT SEESE TO TAKE PERSONAL LEAVE OF ABSENCE CHARLOTTE, N.C. – February 16, 2021 – LPL Financial LLC, a leading retail investment advisory firm, registered investment advisor (RIA) custodian and ind 253496-1 LPL FINANCIAL ANNOUNCES MANAGING DIRECTOR SCOTT SEESE TO TAKE PERSONAL LEAVE OF ABSENCE CHARLOTTE, N.
February 16, 2021	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 15, 2021 LPL Financial Holdings Inc.
February 10, 2021	SC 13G/A	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 6)* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 6)* Name of issuer: LPL Financial Holdings Inc. Title of Class of Securities: Common Stock CUSIP Number: 50212V100 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is
February 4, 2021	SC 13G	SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* LPL Financial Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 50212V100 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t
February 4, 2021	EX-99.1	LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended December 31, Years Ended December 31, 2020 2019 % Change 2020 2019 % Change REVENUES Advisory $ 638,181 $ 533,259 20 % $ Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations - Jeff Mochal, (704) 733-3589 investor.
February 4, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 4, 2021 LPL Financial Holdings Inc.

MX:LPLA
IT:1LPLA	€290.00
DE:7LI	€296.00

LPLA / LPL Financial Holdings Inc. - SEC फाइलिंग, वार्षिक रिपोर्ट, प्रॉक्सी स्टेटमेंट

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