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 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.
Marc Cohen reported the sale of 2,212 common shares of LPLA on 03/09/2026 for $682,955.22. The filing also lists prior acquisitions and issuer-issued stock events (ESPP purchases and restricted stock vesting) across 2021–2026, including a 812-share restricted stock vesting on 02/25/2026.
LPL Financial Holdings Group Managing Director Aneri Jambusaria reported an open-market sale of 308 shares of common stock at $306 per share on March 2, 2026. The trade was executed under a pre-arranged Rule 10b5-1 trading plan adopted on November 3, 2025.
After this sale, Jambusaria holds 6,723 shares, including common stock and restricted stock units that vest between February 25, 2027 and February 25, 2029.
LPL Financial Holdings Inc. chief executive officer Richard Steinmeier reported equity compensation changes in Common Stock. On February 25, 2026, he acquired 2,255 shares at no cost from vesting performance stock units earned at 81% of his target award, and received a new grant of 10,526 restricted stock units, each representing one future share as they vest in 2027, 2028 and 2029.
On the same date, 2,619 shares were disposed of at $318.47 per share to cover tax obligations, a tax-withholding transaction rather than an open-market sale. After these transactions, he directly owned 8,962 shares and indirectly held 16,812.7 shares through a family trust where he and his spouse are co-trustees and sole beneficiaries.
LPL Financial Holdings Inc. principal accounting officer Katharine Reeping reported several equity compensation moves in Common Stock. She acquired 81 shares on February 25, 2026 from performance stock units granted on February 25, 2023, which vested at 81% of her target award based on relative total stockholder return.
On the same date, she disposed of 212 shares at $318.47 per share through a tax-withholding transaction to cover obligations tied to these awards. She also received 373 restricted stock units, each representing one future share, scheduled to vest ratably on February 25, 2027, February 25, 2028 and February 25, 2029.
After these transactions, her direct holdings consist of Common Stock plus multiple restricted stock unit grants, including 547 units vesting in full on February 25, 2027 and 380 units vesting over 2027 and 2028, along with the newly granted units.
Morningstar Matthew reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. Group Managing Director Matthew Morningstar reported an equity award of 1,122 shares of Common Stock in the form of restricted stock units. The grant carried a price of $0.00 per share, indicating a compensation award rather than an open-market purchase.
The restricted stock units vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029, with vested shares to be issued to him after each vesting date. Following this grant, he holds a total of 3,415 shares and restricted stock units, including previously granted awards.
LPL Financial Holdings Inc. Group Managing Director Aneri Jambusaria reported equity compensation changes involving Common Stock. On February 25, 2026, she acquired 942 shares at $0.0000 per share and 1,302 shares at $0.0000 per share through stock awards. Footnotes explain that 942 shares were earned from performance stock units granted on February 25, 2023, which vested at 81% of the target award based on a three-year total stockholder return period ending February 14, 2026. The 1,302-share award represents restricted stock units that will vest ratably on February 25 of 2027, 2028 and 2029. She also disposed of 715 shares at $318.4700 per share in a tax-withholding transaction to cover exercise price or tax obligations, rather than an open-market sale.
LPL Financial Holdings executive Greg Gates reported several equity award transactions in Common Stock. On February 25, 2026, he acquired 1,856 shares upon vesting of performance stock units granted on February 25, 2023, which earned out at 81% of his target based on relative total stockholder return over a three-year period ending February 14, 2026.
He also received new restricted stock unit awards representing 2,774 shares that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029, and 2,807 shares where one-half vests on February 25, 2028 and the other half on August 31, 2029. In connection with vesting, 1,293 shares were disposed of at $318.47 per share to satisfy tax withholding obligations. After these transactions, his direct holdings consist of Common Stock and multiple tranches of restricted stock units with specified future vesting dates.