Welcome to our dedicated page for LPL Financial Holdings 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. filings document the operating results, governance and capital structure of a publicly traded wealth management platform. Form 8-K reports include quarterly earnings releases with disclosures on net income, EPS, gross profit, expenses, client assets, advisory assets, organic net new assets, recruited assets, client cash balances, liquidity, leverage and dividends.
Proxy and material-event filings cover board composition, director independence, director compensation policies, executive-officer transitions, consulting agreements, stock-based compensation arrangements, shareholder voting matters and capital-structure disclosures for LPLA common stock listed on the Nasdaq Global Select Market.
LPL Financial Holdings Inc. (LPLA) received a notice under Rule 144 for a planned sale of its common stock by Katharine Reeping. The filing lists 440 shares of common stock to be sold through Fidelity Brokerage Services LLC on NASDAQ, with an aggregate market value of $153,049.27 and 78,742,290 shares of common stock outstanding. The shares derive from an ESPP purchase on August 2, 2024 and restricted stock vesting on February 25, 2025. The notice is signed by Daniel Tucci as a duly authorized representative of Fidelity, acting as attorney-in-fact for Katharine Reeping.
LPL Financial Holdings Inc. (LPLA) reported that Group Managing Director Emily Field had 106 shares of common stock delivered or withheld on September 5, 2026 to cover an option exercise price or related tax liability. After this transaction, she holds equity-based interests totaling 1,833 units, consisting of 166 shares of common stock and 1,667 restricted stock units with vesting schedules extending through February 25, 2029. No trades were reported as being made under a Rule 10b5-1 trading plan.
LPL Financial Holdings Inc. (LPLA) reported that director Corey E. Thomas acquired 4 stock units of common stock on August 28, 2026. The units were credited at $0.00 per unit under LPL’s 2021 Omnibus Equity Incentive Plan as a fully vested award tied to a quarterly cash dividend and deferred into the Non-Employee Director Deferred Compensation Plan. Following this grant, Thomas directly holds 14,912 shares/units of LPL common stock.
LPL Financial Holdings Inc. (LPLA) director Richard P. Schifter reported an acquisition of common stock on August 28, 2026. He received 14 stock units, each representing one fully vested share of common stock, granted under the 2021 Omnibus Equity Incentive Plan and credited to his Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend.
Following this grant, Schifter directly holds 39,191.5716 shares of LPLA common stock. He is also co-trustee of 11 separate grandchildren's trusts, each holding 440 shares of LPLA common stock; he remains the beneficial owner of the securities held by these trusts.
LPL Financial Holdings Inc. (LPLA) reported that director James S. Putnam acquired 7 stock units of common stock-equivalent on 2026-08-28 as a grant/award. These fully vested units were credited to his Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend and bring his direct holdings to 135,297.5 shares/units of common stock.
LPL Financial Holdings Inc. (LPLA) director Allison Mnookin reported an acquisition of 2 stock units of common stock on August 28, 2026. The units were granted under LPL’s 2021 Omnibus Equity Incentive Plan and credited to her Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend, and are fully vested. Following this award, she directly holds a total of 11,763 shares/stock units of common stock.
LPL Financial Holdings Inc. (symbol: LPLA) is the issuer of record for a Form 4 filing submitted to the SEC.
LPL Financial Holdings Inc. (symbol: LPLA) is the issuer of record for a Form 4 filing submitted to the SEC.
LPL Financial Holdings Inc. (LPLA) reported that director Edward C. Bernard received an automatic grant of 3 stock units of common stock on August 28, 2026. These stock units were credited under LPL’s Non-Employee Director Deferred Compensation Plan as dividend equivalents on previously deferred, fully vested stock units.
Each stock unit represents the right to receive one share of LPL common stock and is fully vested, with a reported acquisition price of $0.00 per share. Following this award, Bernard’s directly held stock units and shares total 16,262.
LPL Financial Holdings Inc. (LPLA) officer Aneri Jambusaria, Group Managing Director, reported selling 308 shares of Common Stock on August 27, 2026 at $357.36 per share in an open-market transaction. The sale was effected pursuant to a Rule 10b5-1 trading plan adopted on November 3, 2025. Following this sale, Jambusaria reports beneficial ownership of 6,107 shares, consisting of 3,687 shares of Common Stock and restricted stock units totaling 380, 738, and 1,302 units that vest between February 25, 2027 and February 25, 2029.