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.
The Vanguard Group filed Amendment No. 12 to a Schedule 13G/A reporting that it beneficially owns 0 shares (0%) of LPL Financial Holdings Inc. common stock. The filing states an internal realignment effective January 12, 2026, and cites SEC Release No. 34-39538 (January 12, 1998) as the basis for disaggregated reporting.
The filing is signed by Ashley Grim, Head of Global Fund Administration, dated 03/27/2026.
LPL Financial Holdings Inc. director Thomas Corey E. reported an acquisition of 7 fully vested stock units of common stock as a compensation-related grant. The units were credited under the company’s Non-Employee Director Deferred Compensation Plan in connection with a quarterly cash dividend, bringing his direct holdings to 13,841 shares.
SCHIFTER RICHARD P reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Richard P. Schifter reported receiving an award of 19 fully vested stock units of common stock on March 24, 2026. The units were granted under LPL’s 2021 Omnibus Equity Incentive Plan and were credited to his deferred compensation plan account in connection with a quarterly cash dividend on the stock.
Each stock unit represents the right to receive one share of common stock, and Schifter’s direct holdings after the grant total 38,098.5716 shares. He also reports indirect beneficial ownership as co-trustee of 11 separate grandchildren’s trusts, with each trust holding 440 shares of common stock.
LPL Financial Holdings Inc. director James S. Putnam received 10 stock units of common stock as a fully vested equity award. The units were granted under the 2021 Omnibus Equity Incentive Plan and credited to his deferred compensation plan account in connection with a quarterly cash dividend. Following this grant, he holds 136,668.5 shares or stock units directly, indicating a routine, compensation-related acquisition rather than an open-market purchase.
Mnookin Allison reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Allison Mnookin received an award of 3 shares of common stock on March 24, 2026. These stock units were granted under the company’s 2021 Omnibus Equity Incentive Plan, are fully vested, and were credited in connection with a quarterly cash dividend. Following the award, Mnookin directly holds 11,046 shares of common stock.
Glavin William Francis Jr reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director William Francis Glavin Jr. received an award of 15 stock units of common stock on March 24, 2026. The units, granted at $0.00 under the 2021 Omnibus Equity Incentive Plan, are fully vested and credited to his deferred compensation plan account.
Each stock unit represents the right to receive one share of common stock. After this award, he holds 23,337 shares directly and 2,775 shares indirectly through a spouse's trust, indicating this was a small, routine compensation-related equity grant rather than an open-market trade.
LPL Financial Holdings Inc. director Paulett Eberhart reported an acquisition of 5 fully vested stock units, each representing one share of common stock, under the company’s 2021 Omnibus Equity Incentive Plan. The units were credited to her Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend. Following this grant, her reported direct holdings total 17,043 shares.
BERNARD EDWARD C reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Edward C. Bernard reported receiving a grant of 4 fully vested stock units of common stock as compensation. The units were issued under the 2021 Omnibus Equity Incentive Plan and credited to his deferred compensation plan account, bringing his directly held units/shares to 15,195.
LPL Financial Holdings Inc. is furnishing proxy materials for its 2026 Annual Meeting of Stockholders to be held on May 14, 2026 at 8:00 a.m. local time at 1055 LPL Way, Fort Mill, South Carolina. The record date for voting is March 16, 2026 and there were 80,188,080 shares of Common Stock outstanding as of the Record Date.
The matters described for stockholder vote include: election of 11 director nominees; ratification of Deloitte & Touche LLP as independent registered public accounting firm; an advisory vote on named executive officer compensation; and three proposed Charter amendments to (1) eliminate supermajority voting requirements, (2) add officer exculpation, and (3) remove the corporate opportunities provision. Voting thresholds are specified for each proposal, including 66 2/3% for the Charter restatement and 80% for the corporate opportunities amendment. Additional proxy-administration details, attendance rules and voting methods are described in the materials.
LPL Financial Holdings Group Managing Director Marc Eliot Cohen reported an exercise-and-sell transaction in company stock. On March 9, 2026, he exercised options for 2,212 shares of common stock at an exercise price of $77.53 per share, then sold those 2,212 shares in open-market trades at $308.75 per share.
He also sold an additional 1,088.2114 shares of common stock on March 10, 2026 at a weighted average price of $309.72, with individual trades ranging from $309.66 to $310.30. Following these transactions, Cohen holds 4,400 shares of LPL Financial common stock directly and reports a further 19 shares held indirectly by his spouse, along with multiple tranches of restricted stock units that vest between 2026 and 2029.