Form 3 — Emily Field (Group Managing Director) Reports No LPLA Shares

Rhea-AI Filing Summary

Initial Form 3 filed for Emily Field at LPL Financial Holdings Inc. (LPLA) reporting a Group Managing Director relationship. The form states the date of transaction triggering the filing was 08/04/2025, and the filer reports no securities beneficially owned. The filing was signed by an attorney‑in‑fact under a Power of Attorney dated 07/21/2025 and executed on 08/25/2025.

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

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Field Emily

(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)
08/04/2025

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

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

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

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 Emily Field pursuant to a Power of Attorney dated July 21, 2025, which is filed as Exhibit 24.1 to this filing.

No securities are beneficially owned.

	/s/ Rachel E. Pearlman, attorney-in-fact	08/25/2025
	** 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

What does the LPLA Form 3 filed for Emily Field report?

The Form 3 reports that Emily Field, a Group Managing Director, holds no beneficial ownership of LPL Financial Holdings Inc. securities as of the filing.

When is the event date that triggered the Form 3 for LPLA?

The event date requiring the statement is 08/04/2025.

Who signed the Form 3 for Emily Field and under what authority?

The form was signed by Rachel E. Pearlman, attorney‑in‑fact on 08/25/2025 under a Power of Attorney dated 07/21/2025.

Does the filing disclose any securities owned by the reporting person?

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

What is the reporting relationship of Emily Field to LPLA?

The filing indicates Emily Field is an Officer with the title Group Managing Director and is also marked as a Director.