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  4. [144] LPL Financial Holdings Inc. SEC Filing

LPL Financial (NASDAQ: LPLA) holder lines up 308-share resale

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
144

Rhea-AI Filing Summary

LPL Financial Holdings Inc. (LPLA) is the issuer for a planned resale of common stock reported under Rule 144 for the account of Aneri Jambusaria. The notice lists up to 308 shares of common stock to be sold through Fidelity Brokerage Services LLC, with an aggregate market value of $110,066.88 as of the notice date.

The shares derive from restricted stock vesting on February 25, 2026 and are characterized as compensation. The filing also reports that 308 shares of LPL common stock were sold during the past three months on June 17, 2026 for total proceeds of $94,248.00. The notice is signed on behalf of the seller by Fidelity Brokerage Services LLC as attorney-in-fact.

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Shares of common stock to be sold 308 shares Amount of LPL common stock covered by the Rule 144 notice
Aggregate market value of securities to be sold $110,066.88 Value associated with the 308 shares of common stock listed in the securities information section
Shares sold during the past 3 months 308 shares LPL common stock sold on June 17, 2026 by the same shareholder
Proceeds from shares sold during the past 3 months $94,248.00 Total proceeds from the 308 LPL shares sold on June 17, 2026
Vesting date of restricted stock 02/25/2026 Acquisition date for the restricted stock underlying the planned sale
Rule 144 regulatory
"See the definition of "person" in paragraph (a) of Rule 144."
Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.
Restricted Stock Vesting financial
"Common | 02/25/2026 | Restricted Stock Vesting | Issuer"
Restricted stock vesting is the timetable and conditions under which shares granted to employees or insiders become fully owned and can be sold, typically requiring continued work or meeting performance goals. It matters to investors because large blocks of shares can become tradable at once, which can change share supply and price, and because vesting aligns insiders’ incentives with the company’s long‑term performance—think of it like a timed unlock that both rewards and locks in key people.
attorney-in-fact regulatory
"as attorney-in-fact for Aneri Jambusaria"
An attorney-in-fact is the person or entity given legal authority through a power of attorney to act on behalf of another for specific tasks, such as signing documents, voting shares, or handling transactions. For investors, this matters because it lets a trusted representative make timely decisions or complete paperwork when the owner cannot, much like handing keys to someone to run errands on your behalf—so checks on scope and limits of that authority are important.
Compensation financial
"308 | 02/25/2026 | Compensation"

FAQ

What does this Form 144 filing mean for LPL Financial Holdings Inc. (LPLA)?
The filing reports that 308 shares of LPL common stock held for Aneri Jambusaria may be sold under Rule 144 through Fidelity Brokerage Services LLC. It is a notice of potential resale by a shareholder and does not represent a new issuance by LPL Financial Holdings Inc.

How many LPLA shares are covered by this Rule 144 notice?
The notice covers 308 shares of LPL common stock for potential sale. The aggregate market value associated with these shares is listed as $110,066.88 in the securities information section.

When were the LPLA shares to be sold under this Form 144 acquired?
The shares to be sold are tied to restricted stock vesting on February 25, 2026. The acquisition method is identified as Restricted Stock Vesting and the nature of payment is listed as Compensation.

Have any LPLA shares been sold recently by this shareholder?
Yes. The filing states that Aneri Jambusaria sold 308 shares of LPL common stock on June 17, 2026, with total proceeds of $94,248.00 during the past three months.

Who is executing the planned sale of LPLA shares mentioned in the Form 144?
The broker listed is Fidelity Brokerage Services LLC. The Form 144 is signed by /s/ Daniel Tucci as a duly authorized representative of Fidelity Brokerage Services LLC, acting as attorney-in-fact for Aneri Jambusaria.

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144: Filer Information

144: Issuer Information

144: Securities Information



Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold


* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.



Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

144: Remarks and Signature

Source: View Original Filing on SEC EDGAR