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 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.
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.