Insider files Form 144 to sell 1,110 LPLA shares

An insider of LPLA reported proposed sales of Common Stock via Form 144.

Rhea-AI Filing Summary

An insider of LPLA reported proposed sales of Common Stock via Form 144. The filing lists 1,110 shares tied to a Restricted Stock Vesting event dated 02/25/2026. The filing also records prior sales of 1,581 shares (sale dated 02/26/2026) and 469 shares (sale dated 04/14/2026), with proceeds shown alongside those transactions.

Insights

Securities Compliance Analyst

Routine Form 144 notice of proposed insider sales tied to vesting and recent dispositions.

The filing lists 1,110 shares associated with a Restricted Stock Vesting event dated 02/25/2026. Form 144 provides a regulatory notice required when insiders plan public sales; the vesting date is the operative trigger shown.

Cash amounts appear next to recent transactions: $506,718.54 for a 02/26/2026 sale of 1,581 shares and $152,587.43 for a 04/14/2026 sale of 469 shares. Subsequent filings will show execution details if sales occur.

Key Figures

Proposed sale: 1,110 shares Recent sale: 1,581 shares Recent sale: 469 shares

3 metrics

Proposed sale 1,110 shares Restricted Stock Vesting dated <date>02/25/2026</date>

Recent sale 1,581 shares Sale dated <date>02/26/2026</date>, proceeds <money>$506,718.54</money>

Recent sale 469 shares Sale dated <date>04/14/2026</date>, proceeds <money>$152,587.43</money>

Key Terms

Form 144, Restricted Stock Vesting, Fidelity Brokerage Services LLC

3 terms

Form 144 regulatory

"Filer Information | 144: Filer Information"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Restricted Stock Vesting financial

"Common | 02/25/2026 | Restricted Stock Vesting"

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.

Fidelity Brokerage Services LLC other

"Common | Fidelity Brokerage Services LLC 900 Salem Street Smithfield RI"

FAQ

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

What does LPLA's Form 144 report?

It reports a proposed sale of 1,110 shares of Common Stock tied to a Restricted Stock Vesting event dated 02/25/2026. It also lists recent dispositions of 1,581 and 469 shares on 02/26/2026 and 04/14/2026.

Who is listed as the selling broker in the LPLA filing?

The filing lists Fidelity Brokerage Services LLC at 900 Salem Street, Smithfield, RI, as the broker-dealer handling the securities. The entry appears under the securities and broker information section of the notice.

What cash amounts are shown in the LPLA Form 144?

The filing shows proceeds of $506,718.54 for the 02/26/2026 sale of 1,581 shares and $152,587.43 for the 04/14/2026 sale of 469 shares. These appear beside the listed past transactions.

Does the Form 144 mean the shares were sold immediately?

No. Form 144 is a notice of proposed sale required before certain insider sales. It lists intended amounts and recent dispositions; actual execution and settlement details appear in later public filings or trade records.

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

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Accepted by SEC EDGAR 04/15/2026 - 04:11 PM 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	0001435098
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	Audette Matthew J
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	1110	366313.85	80080181	04/15/2026	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			1110	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
Matthew J. Audette 4707 Executive Drive San Diego CA 92121	Common	02/26/2026	1581	506718.54
Matthew J. Audette 4707 Executive Drive San Diego CA 92121	Common	04/14/2026	469	152587.43

144: Remarks and Signature

Remarks
Date of Notice	04/15/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	08/14/2025
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/ Gary Redman, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Matthew J. Audette
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)