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 Inc. (LPLA) director Edward C. Bernard had stock units credited to his deferred compensation account on 08/29/2025. The filing reports 15,188 shares of common stock beneficially owned following the transaction. The units were granted under the Issuer's 2021 Omnibus Equity Incentive Plan, are fully vested, and were credited to the reporting person's Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend. The transaction shows an acquisition at a reported price of $0. The Form 4 was signed by an attorney-in-fact on behalf of the reporting person.
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.
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.
LPL Financial Holdings Inc. (LPLA) filed a Form 144 indicating that insider Gregory S. Gates plans to sell 1,500 common shares through Fidelity Brokerage on or after 08/05/2025. At the reference price used in the filing, the transaction is valued at ≈ $561 K. The shares originate from restricted-stock vesting events in June 2021 (432 sh) and December 2021 (1,068 sh).
Gates has already sold 3,000 shares in the past three months for gross proceeds of ≈ $1.14 M. Including the proposed sale, total dispositions during the Rule 144 rolling window will reach 4,500 shares, representing <0.006 % of the 80.0 M shares outstanding. No additional financial or operational data were disclosed.
The filing is routine; the small size relative to float suggests minimal market impact and does not alter the company’s fundamentals or insider-ownership profile.