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.
LPL Financial Holdings Inc. is asking stockholders to vote at its 2026 annual meeting on May 14, 2026, in Fort Mill, South Carolina. Holders of its common stock as of March 16, 2026 may vote in person or by proxy.
Stockholders will elect 11 directors, ratify Deloitte & Touche LLP as auditor for 2026, and cast an advisory vote on named executive officer pay. They are also being asked to approve several charter changes: eliminating supermajority voting requirements, adding officer exculpation, and removing a corporate opportunities provision.
The proxy describes LPL’s governance framework, including an independent board chair, majority voting for uncontested director elections, proxy access, board and management oversight of strategy, risk, cybersecurity and AI, and a sustainability program focused on long-term stakeholder value.
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.