Welcome to our dedicated page for LPL Financial Holdings SEC filings (Ticker: LPLA), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
LPL Financial Holdings Inc. filings document the operating results, governance and capital structure of a publicly traded wealth management platform. Form 8-K reports include quarterly earnings releases with disclosures on net income, EPS, gross profit, expenses, client assets, advisory assets, organic net new assets, recruited assets, client cash balances, liquidity, leverage and dividends.
Proxy and material-event filings cover board composition, director independence, director compensation policies, executive-officer transitions, consulting agreements, stock-based compensation arrangements, shareholder voting matters and capital-structure disclosures for LPLA common stock listed on the Nasdaq Global Select Market.
LPL Financial Holdings director and Group Managing Director Greg Gates reported multiple open-market sales of LPLA common stock on 09/05/2025 executed under a Rule 10b5-1 trading plan adopted March 7, 2025. The Form 4 lists a series of sales at weighted-average prices ranging roughly from $328.80 to $349.86 per share. Following the transactions, the reporting person beneficially owned 17,620 shares (including restricted stock units with staggered vesting through February 2028).
Emily Field, Group Managing Director at LPL Financial Holdings Inc. (LPLA), was granted 817 restricted stock units on 09/05/2025. Each unit converts to one share of common stock at vesting and the grant price is $0. The RSUs vest ratably on September 5 of 2026, 2027 and 2028, and vested shares will be issued as soon as practicable after each vesting date. The Form 4 was signed on behalf of Ms. Field by an attorney-in-fact under a power of attorney dated July 21, 2025.
Form 144 notice from LPL Financial Holdings, Inc. (LPLA) reports proposed and recent sales of common stock by an insider. The filer identifies planned sale of 1,500 shares to be executed through Fidelity Brokerage Services LLC on 09/05/2025 with an aggregate market value listed as $534,225.00. The filing also discloses three recent sales by the same person—1,500 shares on 06/05/2025, 1,500 on 07/03/2025, and 1,500 on 08/05/2025—with gross proceeds of $568,299.99, $573,947.49, and $561,069.44 respectively. The securities to be sold were acquired via restricted stock vesting on dates in 2020 and 2021 and were received as compensation.
Corey E. Thomas, a director of LPL Financial Holdings Inc. (LPLA), reported an acquisition on 08/29/2025. The Form 4 shows stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan were credited to his Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend. Each stock unit equals the right to receive one share and the units are fully vested. After the reported transaction, the filing shows 13,830 shares beneficially owned. The document is signed by an attorney-in-fact on behalf of Mr. Thomas.
Richard P. Schifter, a director of LPL Financial Holdings Inc. (LPLA), reported receipt of stock units credited to his Non-Employee Director Deferred Compensation Plan on 08/29/2025. The stock units were granted under the issuer's 2021 Omnibus Equity Incentive Plan, are fully vested, and were credited in connection with a quarterly cash dividend. Following the reported transaction the filing shows 39,210.8345 shares beneficially owned. The reporting person also discloses indirect holdings of 440 shares each in eleven grandchild trusts for which he is co-trustee and remains the beneficial owner.
James S. Putnam, a director of LPL Financial Holdings Inc. (LPLA), was credited with fully vested stock units on 08/29/2025 that are payable under the company’s Non-Employee Director Deferred Compensation Plan (DDCP). The units represent the right to receive one share of common stock each and were credited in connection with a quarterly cash dividend on common shares.
The filing reports 136,651.5 shares (amount shown as beneficially owned following the transaction) and a price of $0, reflecting a non-cash credit of vested stock units granted under the Issuer’s 2021 Omnibus Equity Incentive Plan. The signature on the form was provided by an attorney-in-fact on 09/03/2025.
Allison Mnookin, a director of LPL Financial Holdings Inc. (LPLA), was credited with 2 fully vested stock units on 08/29/2025. Each stock unit represents the right to receive one share of common stock and these units were credited to her Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend. After the transaction the reporting person is shown as beneficially owning 11,041 shares. The Form 4 was signed by an attorney-in-fact on 09/03/2025.
Aneri Jambusaria, Group Managing Director of LPL Financial Holdings Inc. (LPLA), reported a sale of 80 shares of the issuer's common stock on 09/02/2025 at a price of $361.25 per share. The filing states the sale was executed under a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2024. After the sale, the reporting person beneficially owned 5,582 shares, consisting of 3,458 shares and restricted stock units vesting on specified dates through February 25, 2028. The Form 4 was signed by an attorney-in-fact, Robert S. Hatfield III, on 09/03/2025.
William F. Glavin Jr., a director of LPL Financial Holdings Inc. (LPLA), reported a transaction dated 08/29/2025 that credited vested stock units to his deferred compensation account. The filing shows 23,312 shares beneficially owned directly after the reported transaction and 2,775 shares held indirectly by a spouse's trust. The stock units represent fully vested awards under the Issuer's 2021 Omnibus Equity Incentive Plan and were credited to the Non-Employee Director Deferred Compensation Plan in connection with a quarterly cash dividend. The form was signed on behalf of Mr. Glavin by an attorney-in-fact on 09/03/2025.
LPL Financial Holdings Inc. (LPLA) Form 4 filed for Paulett Eberhart, a company director, reports a non‑derivative acquisition on 08/29/2025. The filing shows stock units granted under the issuer's 2021 Omnibus Equity Incentive Plan were credited to the reporting person’s Non‑Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend. The stock units are fully vested and each represents the right to receive one share of common stock. The reported transaction is coded as an acquisition at a $0 price and results in beneficial ownership of 17,034 shares following the transaction. The form is signed on behalf of Ms. Eberhart by an attorney‑in‑fact.