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.
LPL Financial Holdings Inc. (Nasdaq: LPLA) files a range of documents with the U.S. Securities and Exchange Commission that shed light on its operations as a wealth management and investment advice company. As the parent of LPL Financial LLC and related entities, the firm uses SEC filings to report financial results, corporate actions, governance changes and other material events affecting its advisor-mediated platform.
On this page, investors can review current reports on Form 8-K that LPL uses to announce quarterly earnings, monthly activity metrics, acquisitions and leadership changes. Recent 8-K filings describe, for example, financial results for specific quarters, the completion of the acquisition of CFN Holding Company, LLC (Commonwealth Financial Network), and the election of independent directors to the board. Other 8-Ks address executive transitions and consulting arrangements with former officers.
LPL’s filings also identify its common stock listing on the Nasdaq Global Select Market under the symbol LPLA and confirm that LPL Financial LLC and LPL Enterprise, LLC are registered investment advisers and broker-dealers, and members of FINRA/SIPC. These disclosures help investors understand the regulatory framework in which the company operates.
Through Stock Titan, users can access these SEC documents as they are made available via EDGAR and use AI-powered tools to interpret key points. Filings such as annual reports on Form 10-K, quarterly reports on Form 10-Q and Forms 4 reporting insider transactions, when present, can be summarized to highlight topics like advisory and brokerage asset trends, corporate transactions, board and management changes and compensation-related matters disclosed in proxy materials.
By combining real-time access to LPLA filings with AI-generated explanations, this page helps users navigate complex regulatory documents and focus on the information most relevant to understanding LPL Financial’s business and governance.
LPL Financial Holdings Inc. chief executive officer Richard Steinmeier reported equity compensation changes in Common Stock. On February 25, 2026, he acquired 2,255 shares at no cost from vesting performance stock units earned at 81% of his target award, and received a new grant of 10,526 restricted stock units, each representing one future share as they vest in 2027, 2028 and 2029.
On the same date, 2,619 shares were disposed of at $318.47 per share to cover tax obligations, a tax-withholding transaction rather than an open-market sale. After these transactions, he directly owned 8,962 shares and indirectly held 16,812.7 shares through a family trust where he and his spouse are co-trustees and sole beneficiaries.
LPL Financial Holdings Inc. principal accounting officer Katharine Reeping reported several equity compensation moves in Common Stock. She acquired 81 shares on
On the same date, she disposed of 212 shares at
After these transactions, her direct holdings consist of Common Stock plus multiple restricted stock unit grants, including 547 units vesting in full on
Morningstar Matthew reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. Group Managing Director Matthew Morningstar reported an equity award of 1,122 shares of Common Stock in the form of restricted stock units. The grant carried a price of $0.00 per share, indicating a compensation award rather than an open-market purchase.
The restricted stock units vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029, with vested shares to be issued to him after each vesting date. Following this grant, he holds a total of 3,415 shares and restricted stock units, including previously granted awards.
LPL Financial Holdings Inc. Group Managing Director Aneri Jambusaria reported equity compensation changes involving Common Stock. On February 25, 2026, she acquired 942 shares at
LPL Financial Holdings executive Greg Gates reported several equity award transactions in Common Stock. On
He also received new restricted stock unit awards representing 2,774 shares that vest ratably on each of
LPL Financial Holdings Inc. reported that Group Managing Director Emily Field acquired an equity award of 1,122 restricted stock units of Common Stock on February 25, 2026. These units vest in equal installments on February 25, 2027, 2028 and 2029, with shares delivered after each vesting date. Following this grant, she directly holds a total of 1,939 restricted stock units, including 817 units that vest in three annual tranches on September 5, 2026, 2027 and 2028.
LPL Financial Holdings executive Matthew Enyedi reported multiple stock transactions. On February 26, 2026, he executed open-market sales totaling 2,109 shares of LPL common stock at prices around $318–$323 per share under a pre-established Rule 10b5-1 trading plan.
On February 25, 2026, he received 1,799 shares upon vesting of performance stock units earned at 81% of target based on relative total stockholder return, plus a separate grant of 2,176 restricted stock units. He also disposed of 1,333 shares to cover taxes by delivering shares. Following these transactions, his holdings include 10,242 shares of common stock and several tranches of time-based restricted stock units.
LPL Financial Holdings Inc. Group Managing Director Marc Eliot Cohen reported equity award activity in Common Stock. On February 25, 2026, he acquired 537 shares upon vesting of performance stock units granted on February 25, 2023, which were earned at 81% of his target award based on relative total stockholder return.
He also acquired 1,403 restricted stock units, each representing one future share of Common Stock. These units vest in equal parts on February 25, 2027, February 25, 2028 and February 25, 2029, with shares issued shortly after each vesting date.
To satisfy tax obligations, 483 shares were disposed of at $318.47 per share through a tax-withholding transaction rather than an open-market sale. Following these transactions, his direct holdings consist of Common Stock and several tranches of restricted stock units, and 19 shares are held indirectly by his spouse.
LPL Financial Holdings Inc. President and CFO Matthew J. Audette reported a mix of stock awards and sales. On February 25, 2026, he acquired 2,152 shares of common stock upon vesting of performance stock units granted in 2023, which were earned at 81% of his target based on relative total stockholder return, and received an additional 6,624 restricted stock units that vest between 2027 and 2029. That same day, 2,351 shares were disposed of to cover tax obligations at a price of $318.47 per share. On February 26, 2026, he executed four open-market sales totaling 1,581 shares at prices between $318.51 and $322.15 per share under a Rule 10b5-1 trading plan. Following these transactions, he directly owned 21,382 shares of common stock, plus the reported restricted stock units.