[144] LPL Financial Holdings Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice for LPLA: proposed sale of 80 common shares from restricted stock vesting. The filer plans to sell 80 shares of common stock through Fidelity Brokerage Services on NASDAQ, with an indicated aggregate market value of $28,900 and an approximate sale date of 09/02/2025. The shares were acquired by restricted stock vesting on 02/25/2025 as compensation and fully paid the same day. The issuer’s outstanding shares are listed as 80,004,103. A prior sale of 80 shares by Aneri Jambusaria on 06/02/2025 produced gross proceeds of $30,719.20.

Positive

• Compliance detail provided: Broker, share count, aggregate value, acquisition method, and sale date are all disclosed as required.
• Acquisition source is compensation: Shares were acquired by restricted stock vesting, which clarifies the nature of ownership.

Negative

• No issuer name or filer CIK shown in form text provided: Key identifying issuer/filer fields are blank in the supplied content.
• No 10b5-1 plan date indicated: The filing does not show a trading-plan adoption date, which would clarify affirmative reliance on a pre-established plan.

Insights

Securities Compliance Analyst

TL;DR: Routine Rule 144 notice for a small, post-vesting sale; disclosure aligns with required particulars and a 10b5-1 statement is not shown.

This filing documents a proposed sale of 80 common shares acquired via restricted stock vesting and reported as compensation. The notice lists broker, aggregate market value, outstanding share count, and an approximate sale date, which are standard requirements for a Form 144. There is no disclosure in the form about a written trading plan date under Rule 10b5-1, so the sellers representation about lack of undisclosed material information is the primary compliance assertion in the filing.

Equity Markets Analyst

TL;DR: Economically immaterial sale—80 shares vs. ~80 million outstanding—unlikely to affect LPLA market dynamics.

The transaction size (80 shares) is negligible relative to the reported outstanding shares of 80,004,103, indicating this is a personal, compensatory sale rather than a material distribution. The filing also shows a prior identical-quantity sale on 06/02/2025 with gross proceeds of $30,719.20, suggesting small, discrete disposals following vesting. From a market-impact perspective this is routine and not material to valuation.

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

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

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	80	28900.00	80004103	09/02/2025	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	02/25/2025	Restricted Stock Vesting	Issuer			80	02/25/2025	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	06/02/2025	80	30719.20

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What security and quantity does the LPLA Form 144 propose to sell?

The notice proposes sale of 80 shares of Common stock through Fidelity Brokerage Services on NASDAQ.

When were the 80 shares acquired and how?

The shares were acquired on 02/25/2025 by restricted stock vesting and recorded as compensation.

What is the reported aggregate market value and approximate sale date?

Aggregate market value is listed as $28,900 with an approximate sale date of 09/02/2025.

Does the filing show any recent sales by the same person?

Yes. A prior sale by Aneri Jambusaria of 80 shares on 06/02/2025 reported gross proceeds of $30,719.20.

How large is this sale relative to outstanding shares?

The filing lists 80,004,103 shares outstanding; 80 shares are economically immaterial versus that total.