New LPL director Somesh Khanna (NASDAQ: LPLA) reports no holdings

Rhea-AI Filing Summary

LPL Financial Holdings Inc. director Somesh Khanna filed an initial Form 3 reporting his relationship to the company as a director. The filing states that no securities of LPL Financial are beneficially owned. The form is signed by an attorney-in-fact, Robert S. Hatfield III, acting under a power of attorney dated January 9, 2026.

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Khanna Somesh

(Last) (First) (Middle)

C/O LPL FINANCIAL HOLDINGS INC.

4707 EXECUTIVE DRIVE

(Street)

SAN DIEGO CA 92121

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/05/2026

3. Issuer Name and Ticker or Trading Symbol
LPL Financial Holdings Inc. [ LPLA ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

Remarks:

The signatory is signing on behalf of Somesh Khanna pursuant to a Power of Attorney dated January 9, 2026, which is filed as Exhibit 24.1 to this filing.

No securities are beneficially owned.

	/s/ Robert S. Hatfield III, attorney-in-fact	01/14/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

Who is the reporting person in the LPL Financial (LPLA) Form 3?

The reporting person is Somesh Khanna, who is identified as a director of LPL Financial Holdings Inc..

What relationship does Somesh Khanna have to LPL Financial (LPLA)?

Somesh Khanna is listed as a director of LPL Financial Holdings Inc. and is not identified as an officer or 10% owner.

Does Somesh Khanna report owning any LPL Financial (LPLA) securities on this Form 3?

No. The filing explicitly states that no securities are beneficially owned.

What is the purpose of this LPL Financial (LPLA) Form 3 filing?

This Form 3 serves as an initial statement of beneficial ownership for director Somesh Khanna, indicating his role and that he currently reports no beneficial ownership of LPL securities.

Who signed the Form 3 for Somesh Khanna at LPL Financial (LPLA)?

The form was signed by /s/ Robert S. Hatfield III as attorney-in-fact for Somesh Khanna, under a power of attorney dated January 9, 2026.

Are there any derivative or non-derivative LPL (LPLA) holdings reported for Somesh Khanna?

No. The filing indicates that no securities are beneficially owned, and the transaction tables contain no reported holdings.