Welcome to our dedicated page for Lpl Financial 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. director Anne M. Mulcahy reported receiving grants of common stock as part of her board compensation. She acquired 348 shares of restricted stock granted under the company’s 2021 Omnibus Equity Incentive Plan and 712 additional shares elected in lieu of the cash portion of her annual retainer.
All reported shares are restricted stock awarded under the Non-Employee Director Compensation Policy and carry no purchase price. The 348-share restricted stock grant is scheduled to vest in full on May 20, 2027. After these awards, she directly holds a little over 37,000 shares of LPL Financial common stock.
Mnookin Allison reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Allison Mnookin received an award of 712 shares of common stock on a deferred basis as part of her board compensation. The award consists of stock units granted under the company’s 2021 Omnibus Equity Incentive Plan and is scheduled to vest in full on May 20, 2027. Following this grant, she directly holds 11,758 shares of common stock. The stock units reflect a deferral of the equity portion of her annual non-employee director retainer under the company’s deferred compensation program.
LPL Financial Holdings Inc. director Albert J. Ko received a grant of 712 shares of restricted common stock under the company’s 2021 Omnibus Equity Incentive Plan, issued at no cash cost to him. This restricted stock is scheduled to vest in full on May 20, 2027.
After this award and including 21 previously acquired shares, Ko now directly holds 3,299 shares of LPL Financial common stock.
LPL Financial Holdings Inc. director Somesh Khanna reported an acquisition of 712 shares of common stock in the form of stock units granted under the company’s 2021 Omnibus Equity Incentive Plan. The grant was made at no cash cost and brings his direct holdings to 851 shares.
Each stock unit represents one share of common stock and is scheduled to vest in full on May 20, 2027. According to the footnote, Khanna elected under the Non-Employee Director Deferred Compensation Plan to defer receipt of the equity portion of his annual retainer, making this a routine, compensation-related award rather than an open-market purchase.
Glavin William Francis Jr reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director William Francis Glavin Jr reported an equity compensation grant of common stock. He received 712 shares of restricted stock under the company’s 2021 Omnibus Equity Incentive Plan pursuant to its Non-Employee Director Compensation Policy. This restricted stock is scheduled to vest in full on May 20, 2027. After this award, Glavin directly holds 24,049 shares of common stock and indirectly holds 2,775 shares through his spouse’s trust.
EBERHART PAULETT reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Paulett Eberhart received an equity grant of 712 shares of common stock in the form of stock units. The award was granted at no cash price under the company’s 2021 Omnibus Equity Incentive Plan and is scheduled to vest in full on May 20, 2027. These stock units are subject to a deferral election under the Non-Employee Director Deferred Compensation Plan, reflecting her choice to defer the equity portion of her annual director retainer. Following this grant, she holds a total of 17,755 shares of common stock directly.
BERNARD EDWARD C reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Edward C. Bernard reported receiving equity awards in the form of stock units on common stock. On May 15, 2026 he was granted 1,060 stock units under the 2021 Omnibus Equity Incentive Plan, with some units vesting on May 20, 2027 and others already fully vested, all subject to deferral elections under the company’s Non-Employee Director Deferred Compensation Plan.
LPL Financial Holdings Inc. reported governance changes and voting results from its 2026 annual stockholder meeting. The Board adopted Eighth Amended and Restated Bylaws effective May 14, 2026, updating procedures for meetings, director qualifications, stockholder nominations, and emergency operations under Delaware law.
Stockholders elected eleven directors for terms ending at the 2027 annual meeting, ratified Deloitte & Touche LLP as auditor, and approved named executive officer compensation on an advisory basis. They also approved amendments to the Charter to remove supermajority voting requirements, add officer exculpation to the fullest extent permitted by Delaware law, and delete the corporate opportunities provision.
LPL Financial Holdings Inc. received a Schedule 13G filing showing Dodge & Cox beneficially owns 4,146,547 shares of common stock, representing 5.2% of the class as of 03/31/2026. The filing reports sole voting power for 3,905,059 shares and states these holdings are held on behalf of Dodge & Cox clients. The form was signed on 05/14/2026.
LPL Financial Holdings Inc. received a Schedule 13G filing showing Dodge & Cox beneficially owns 4,146,547 shares of common stock, representing 5.2% of the class as of 03/31/2026. The filing reports sole voting power for 3,905,059 shares and states these holdings are held on behalf of Dodge & Cox clients. The form was signed on 05/14/2026.
LPL Financial Holdings Inc. received a Schedule 13G filing showing Dodge & Cox beneficially owns 4,146,547 shares of common stock, representing 5.2% of the class as of 03/31/2026. The filing reports sole voting power for 3,905,059 shares and states these holdings are held on behalf of Dodge & Cox clients. The form was signed on 05/14/2026.
LPL Financial Holdings Inc. director James S. Putnam reported a charitable gift of company shares. On May 7, 2026, he transferred 100 shares of Common Stock as a bona fide charitable gift, receiving no sale proceeds.
After this gift, Putnam directly owns 136,568.5 shares of LPL Financial Holdings common stock, indicating the transaction was very small relative to his remaining position.