LPL shareholder plans $110K resale of 308 shares

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.

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.

Key Figures

Shares of common stock to be sold: 308 shares Aggregate market value of securities to be sold: $110,066.88 Shares sold during the past 3 months: 308 shares +2 more

5 metrics

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

Key Terms

Rule 144, Restricted Stock Vesting, attorney-in-fact, Compensation

4 terms

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

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

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.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/27/2026 - 10:02 AM EDT Accepted by SEC EDGAR 08/27/2026 - 10:01 AM EDT Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001966430
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	LPL Financial Holdings Inc.
SEC File Number	001-34963
Address of Issuer	4707 EXECUTIVE DRIVE SAN DIEGO CALIFORNIA 92121
Phone	800-877-7210
Name of Person for Whose Account the Securities are To Be Sold	Jambusaria Aneri
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Fidelity Brokerage Services LLC 900 Salem Street Smithfield RI 02917	308	110066.88	78742290	08/27/2026	NASDAQ

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

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	02/25/2026	Restricted Stock Vesting	Issuer			308	02/25/2026	Compensation

* 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

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Aneri Jambusaria 4707 Executive Drive San Diego CA 92121	Common	06/17/2026	308	94248.00

144: Remarks and Signature

Remarks
Date of Notice	08/27/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	11/03/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Daniel Tucci, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Aneri Jambusaria
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)