Welcome to our dedicated page for Lpl Financial SEC filings (Ticker: LPLA), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Searching a 300-page filing just to see how higher interest rates boosted LPL Financial’s cash-sweep revenue can drain an analyst’s entire afternoon. LPL Financial’s disclosures sprawl across complex schedules that detail advisory assets, advisor payout ratios, and compliance reserves—data points scattered through multiple exhibits. That complexity ends here.
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Whether you’re understanding LPL Financial SEC documents with AI for compliance, tracking advisor growth, or monitoring risk factors, Stock Titan delivers the full picture—fast, accurate, and always current.
Corey E. Thomas, a director of LPL Financial Holdings Inc. (LPLA), reported an acquisition on 08/29/2025. The Form 4 shows stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan were credited to his Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend. Each stock unit equals the right to receive one share and the units are fully vested. After the reported transaction, the filing shows 13,830 shares beneficially owned. The document is signed by an attorney-in-fact on behalf of Mr. Thomas.
Richard P. Schifter, a director of LPL Financial Holdings Inc. (LPLA), reported receipt of stock units credited to his Non-Employee Director Deferred Compensation Plan on 08/29/2025. The stock units were granted under the issuer's 2021 Omnibus Equity Incentive Plan, are fully vested, and were credited in connection with a quarterly cash dividend. Following the reported transaction the filing shows 39,210.8345 shares beneficially owned. The reporting person also discloses indirect holdings of 440 shares each in eleven grandchild trusts for which he is co-trustee and remains the beneficial owner.
James S. Putnam, a director of LPL Financial Holdings Inc. (LPLA), was credited with fully vested stock units on 08/29/2025 that are payable under the company’s Non-Employee Director Deferred Compensation Plan (DDCP). The units represent the right to receive one share of common stock each and were credited in connection with a quarterly cash dividend on common shares.
The filing reports 136,651.5 shares (amount shown as beneficially owned following the transaction) and a price of $0, reflecting a non-cash credit of vested stock units granted under the Issuer’s 2021 Omnibus Equity Incentive Plan. The signature on the form was provided by an attorney-in-fact on 09/03/2025.
Allison Mnookin, a director of LPL Financial Holdings Inc. (LPLA), was credited with 2 fully vested stock units on 08/29/2025. Each stock unit represents the right to receive one share of common stock and these units were credited to her Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend. After the transaction the reporting person is shown as beneficially owning 11,041 shares. The Form 4 was signed by an attorney-in-fact on 09/03/2025.
Aneri Jambusaria, Group Managing Director of LPL Financial Holdings Inc. (LPLA), reported a sale of 80 shares of the issuer's common stock on 09/02/2025 at a price of $361.25 per share. The filing states the sale was executed under a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2024. After the sale, the reporting person beneficially owned 5,582 shares, consisting of 3,458 shares and restricted stock units vesting on specified dates through February 25, 2028. The Form 4 was signed by an attorney-in-fact, Robert S. Hatfield III, on 09/03/2025.
William F. Glavin Jr., a director of LPL Financial Holdings Inc. (LPLA), reported a transaction dated 08/29/2025 that credited vested stock units to his deferred compensation account. The filing shows 23,312 shares beneficially owned directly after the reported transaction and 2,775 shares held indirectly by a spouse's trust. The stock units represent fully vested awards under the Issuer's 2021 Omnibus Equity Incentive Plan and were credited to the Non-Employee Director Deferred Compensation Plan in connection with a quarterly cash dividend. The form was signed on behalf of Mr. Glavin by an attorney-in-fact on 09/03/2025.
LPL Financial Holdings Inc. (LPLA) Form 4 filed for Paulett Eberhart, a company director, reports a non‑derivative acquisition on 08/29/2025. The filing shows stock units granted under the issuer's 2021 Omnibus Equity Incentive Plan were credited to the reporting person’s Non‑Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend. The stock units are fully vested and each represents the right to receive one share of common stock. The reported transaction is coded as an acquisition at a $0 price and results in beneficial ownership of 17,034 shares following the transaction. The form is signed on behalf of Ms. Eberhart by an attorney‑in‑fact.
LPL Financial Holdings Inc. (LPLA) director Edward C. Bernard had stock units credited to his deferred compensation account on 08/29/2025. The filing reports 15,188 shares of common stock beneficially owned following the transaction. The units were granted under the Issuer's 2021 Omnibus Equity Incentive Plan, are fully vested, and were credited to the reporting person's Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend. The transaction shows an acquisition at a reported price of $0. The Form 4 was signed by an attorney-in-fact on behalf of the reporting person.
Form 144 notice for LPLA: proposed sale of 80 common shares from restricted stock vesting. The filer plans to sell 80 shares of common stock through Fidelity Brokerage Services on NASDAQ, with an indicated aggregate market value of $28,900 and an approximate sale date of 09/02/2025. The shares were acquired by restricted stock vesting on 02/25/2025 as compensation and fully paid the same day. The issuer’s outstanding shares are listed as 80,004,103. A prior sale of 80 shares by Aneri Jambusaria on 06/02/2025 produced gross proceeds of $30,719.20.
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