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. 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. director Thomas E. Corey reported an acquisition of 7 stock units of common stock on June 4, 2026. The units were granted at a price of $0.00 per share as a compensation-related award, not an open-market purchase.
According to the disclosure, these stock units were granted under the company’s 2021 Omnibus Equity Incentive Plan, are fully vested, and each unit represents the right to receive one share of common stock. The units were credited to Corey’s account under the Non-Employee Director Deferred Compensation Plan in connection with a quarterly cash dividend on common shares. After this grant, Corey holds a total of 14,908 shares of common stock directly.
LPL Financial Holdings Inc. director Richard P. Schifter reported a small compensation-related equity change. He acquired 19 fully vested stock units of common stock under the 2021 Omnibus Equity Incentive Plan, credited to his Non-Employee Director Deferred Compensation Plan account as dividend equivalents, bringing his direct holdings to 39,177.5716 shares. He also reports indirect beneficial ownership as co-trustee of 11 separate grandchildren's trusts, each holding 440 common shares.
LPL Financial Holdings Inc. director James S. Putnam reported an acquisition of 10 common stock units on a grant or award basis. These stock units were credited under the company’s 2021 Omnibus Equity Incentive Plan and are fully vested.
The stock units, each representing one share of common stock, were added to Putnam’s Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend paid on common shares. Following this award, he holds 137,290.5 shares of common stock directly.
LPL Financial Holdings Inc. director Allison Mnookin received an award of 3 fully vested stock units of common stock on a grant coded as a compensation-related acquisition. These units were credited to her deferred compensation plan account as dividend equivalents, bringing her direct holdings to 11,761 shares.
Glavin William Francis Jr reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director William Francis Glavin Jr reported a routine equity compensation change. He received 15 fully vested stock units of common stock, granted at $0.00 per unit under the company’s 2021 Omnibus Equity Incentive Plan and credited to his Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend.
Each stock unit represents the right to receive one share of common stock. Following this award, Glavin holds 24,064 shares of common stock directly and 2,775 shares indirectly through his spouse’s trust. The filing shows no open-market purchases or sales, only an award and updated holdings.
EBERHART PAULETT reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Paulett Eberhart received an award of 5 fully vested stock units of common stock on June 4, 2026. The units were granted under the 2021 Omnibus Equity Incentive Plan and credited to her deferred compensation plan account as dividend equivalents, bringing her direct holdings to 17,760 shares.
BERNARD EDWARD C reported acquisition or exercise transactions in this Form 4 filing.
Director Edward C. Bernard received 4 stock units of LPL Financial Holdings Inc. common stock on June 4, 2026. These units were granted at no cash cost under the company’s 2021 Omnibus Equity Incentive Plan and credited to his deferred compensation account as a dividend equivalent. After this award, he holds 16,259 shares/units directly. This is a routine, fully vested equity compensation grant rather than an open-market purchase.
LPL Financial Holdings Inc. director Thomas Corey E. reported equity awards of common stock units granted on May 15, 2026. The filing shows two acquisitions of stock units, for 348 and 712 units, at no cash cost, each unit representing the right to receive one share of common stock.
The awards were granted under LPL’s 2021 Omnibus Equity Incentive Plan and are linked to the non-employee director annual retainer. One grant is scheduled to vest in full on May 20, 2027, while the other is fully vested. Both grants are subject to deferral elections under the Non-Employee Director Deferred Compensation Plan, meaning receipt of the related shares or cash is deferred according to the director’s elections.
SCHIFTER RICHARD P reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Richard P. Schifter reported new equity-based compensation and updated indirect holdings in company common stock. He received two awards totaling 1,060 stock units granted under the 2021 Omnibus Equity Incentive Plan, with each unit representing one share of common stock and granted at no cash cost.
According to the footnotes, one grant of stock units is scheduled to vest in full on May 20, 2027, while another grant is already fully vested. Both awards are subject to a deferral election under the Non-Employee Director Deferred Compensation Plan tied to the annual director retainer.
The filing also lists indirect holdings where Schifter serves as co-trustee for 11 separate grandchildren’s trusts, each showing 440 shares of common stock following the reported entries. The footnotes state that Schifter remains the beneficial owner of the securities held in these trusts.
Putnam James S reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director James S. Putnam received an equity grant of 712 shares of common stock in the form of stock units at a price of $0.00 per share. These stock units were granted under the company’s 2021 Omnibus Equity Incentive Plan and are scheduled to vest in full on May 20, 2027. The units are subject to a deferral election under LPL’s Non-Employee Director Deferred Compensation Plan, reflecting Mr. Putnam’s choice to defer the equity portion of his annual director retainer. Following this grant, he directly holds 137,280.5 shares of common stock.