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. (Nasdaq: LPLA) files a range of documents with the U.S. Securities and Exchange Commission that shed light on its operations as a wealth management and investment advice company. As the parent of LPL Financial LLC and related entities, the firm uses SEC filings to report financial results, corporate actions, governance changes and other material events affecting its advisor-mediated platform.
On this page, investors can review current reports on Form 8-K that LPL uses to announce quarterly earnings, monthly activity metrics, acquisitions and leadership changes. Recent 8-K filings describe, for example, financial results for specific quarters, the completion of the acquisition of CFN Holding Company, LLC (Commonwealth Financial Network), and the election of independent directors to the board. Other 8-Ks address executive transitions and consulting arrangements with former officers.
LPL’s filings also identify its common stock listing on the Nasdaq Global Select Market under the symbol LPLA and confirm that LPL Financial LLC and LPL Enterprise, LLC are registered investment advisers and broker-dealers, and members of FINRA/SIPC. These disclosures help investors understand the regulatory framework in which the company operates.
Through Stock Titan, users can access these SEC documents as they are made available via EDGAR and use AI-powered tools to interpret key points. Filings such as annual reports on Form 10-K, quarterly reports on Form 10-Q and Forms 4 reporting insider transactions, when present, can be summarized to highlight topics like advisory and brokerage asset trends, corporate transactions, board and management changes and compensation-related matters disclosed in proxy materials.
By combining real-time access to LPLA filings with AI-generated explanations, this page helps users navigate complex regulatory documents and focus on the information most relevant to understanding LPL Financial’s business and governance.
Greg Gates, Group Managing Director and officer of LPL Financial Holdings Inc. (LPLA), reported multiple sales of common stock executed on 10/06/2025. The transactions were effected under a Rule 10b5-1 trading plan adopted on 03/07/2025. The Form 4 shows five sale entries totaling 750 shares sold in tranches of 141, 266, 109, 132, and 102 shares at weighted-average prices of $312.15, $313.20, $314.04, $315.09, and $320.27, respectively. Following these sales, beneficial ownership is reported as 16,870 shares, which include a mix of vested shares and restricted stock units scheduled to vest through 02/25/2028. The filing is signed on behalf of Mr. Gates by an attorney-in-fact on 10/08/2025.
LPL Financial Holdings (LPLA) filed a Form 144 notifying the proposed sale of 750 common shares currently held in a brokerage account. The filing lists an aggregate market value of $235,812.95 for the shares and identifies Fidelity Brokerage Services LLC as the broker with an approximate sale date of 10/06/2025 on NASDAQ. The shares were acquired through restricted stock vesting on 12/11/2020 and were paid as compensation.
The filer also reported two prior common-stock sales by the same person within the last three months: 1,500 shares on 08/05/2025 for $561,069.44 and 1,500 shares on 09/05/2025 for $507,312.67, totaling 3,000 shares and $1,068,382.11 in gross proceeds.
LPL Financial Holdings Inc. (LPLA) Form 4 shows that Katharine Reeping, Principal Accounting Officer, disposed of 56 shares of the company's common stock on 09/09/2025 at a price of $339.97 per share. After the reported sale, Reeping is recorded as beneficially owning 1,971.9057 shares, which the filing explains consist of 449.9057 vested shares plus a mix of restricted stock units (RSUs) with vesting dates in 2026, 2027 and 2028.
The filing is signed by an attorney-in-fact under a power of attorney dated February 25, 2025, indicating the form was submitted on behalf of Reeping. No derivative transactions or additional compensatory exercises are reported.
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.