LPL Financial Holdings Inc. (CIK: 0001397911) EDGAR, Information, Filings... CompaniesBIO.Com

LPL Financial Holdings Inc.

Mailing address
4707 EXECUTIVE DRIVE, SAN DIEGO, Delaware, 92121
Phone
800-877-7210
State location
California
State of incorporation
Delaware
Fiscal year end
December 31
SIC
6200 - (CF Office: Office of Finance) SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES
Filings
N/A

LPL Financial Holdings Inc. (CIK: 0001397911) is an American company incorporated in the state of California. Head office is located at 4707 EXECUTIVE DRIVE, SAN DIEGO, California, 92121. Work in the industry 6200 - (CF Office: Office of Finance) SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES. LPL Financial Holdings Inc. is a public company and trade via Over-The-Counter (OTC).

Old names:

LPL Investment Holdings Inc. from 2007-30-Apr to 2012-05-Jun

Owner	Filings	Transaction Date	Type of Owner
Brown Althea	0001992638	Sep-05-2023	officer: Managing Director
SCHIFTER RICHARD P	0001249554	Mar-13-2023	director
Jambusaria Aneri	0001966430	Feb-08-2023	officer: Managing Director
Ko Albert J	0001960503	Jan-09-2023	director
Sethi Kabir	0001927665	May-02-2022	officer: Managing Director
Gates Greg	0001877100	Dec-10-2021	officer: Managing Director
Simonich Brent	0001644152	Feb-11-2021	officer: EVP, CAO and Treasurer
Fandrey Edward	0001842672	Jan-19-2021	officer: Managing Director
BERNARD EDWARD C	0001203065	May-06-2020	director
Enyedi Matthew	0001798805	Jan-01-2020	officer: Managing Director
Thomas Corey E.	0001647486	May-08-2019	director
SEMERJIAN DAYTON	0001287252	Feb-28-2019	officer: Managing Director
Steinmeier Richard	0001750576	Aug-13-2018	officer: Managing Director
Mnookin Allison	0001603473	Jun-01-2018	director
Seese Scott	0001712038	Jul-10-2017	officer: MD, Chief Information Officer
Glavin William Francis Jr	0001298173	May-17-2017	director
Hellman Marco	0001294991	May-10-2016	director
Calder Tracy	0001665253	Jan-25-2016	officer: MD, Deputy Chief Risk Officer
DINH VIET D	0001306819	Sep-28-2015	director
Audette Matthew J	0001435098	Sep-28-2015	officer: Chief Financial Officer
Gooley Thomas	0001647085	Jun-25-2015	officer: MD, Svc, Trading & Operations
Handelsman Sharyn	0001636277	Mar-11-2015	officer: MD, Chief Compliance Officer
EBERHART PAULETT	0001179702	Nov-21-2014	director
Buchheister Jeffrey R.	0001614251	Aug-01-2014	officer: EVP, Chief Accounting Officer
Parker Ryan	0001610290	Jun-05-2014	officer: MD, Invstmt & Planning Solutns
Schott Mary Frances	0001610653	Jun-05-2014	officer: MD, Client Expernce & Training
Morrissey William P. Jr.	0001606128	Apr-14-2014	officer: MD, Independent Advisor Svcs
TPG Group Holdings (SBS) Advisors, Inc.	0001495741	Nov-05-2013	10 percent owner
Oroschakoff Michelle	0001585874	Sep-03-2013	officer: MD, Chief Risk Officer
Bergers David P.	0001583698	Aug-05-2013	officer: MD, Legal & Gov't Relations
MULCAHY ANNE M	0001201725	May-08-2013	director
Hellman & Friedman GP LLC	0001569989	Feb-22-2013	director, 10 percent owner
Fetter Victor	0001564796	Dec-17-2012	officer: MD, Chief Information Officer
Hellman & Friedman LP	0001561331	Nov-07-2012	director, 10 percent owner
Hellman & Friedman Capital Associates V, L.P.	0001462332	May-07-2012	director, 10 percent owner
Larsen Sallie R.	0001548541	May-01-2012	officer: MD, Chief Human Cap. Officer
Bruton Derek	0001548542	May-01-2012	officer: MD, National Sales Manager
White George Burton	0001548543	May-01-2012	officer: MD, Chief Investment Officer
Khoury Joan D	0001548544	May-01-2012	officer: MD, Chief Marketing Officer
Kalbaugh John Andrew	0001548546	May-01-2012	officer: MD, Institution Services
HELLMAN & FRIEDMAN CAPITAL V LP	0001299380	Dec-01-2011	director, 10 percent owner
Hellman & Friedman Capital Partners V (Parallel), L.P.	0001462333	Dec-01-2011	director
Hellman & Friedman Investors V, L.P.	0001462334	Dec-01-2011	director, 10 percent owner
Hellman & Friedman LLC	0001462335	Dec-01-2011	director, 10 percent owner
SHULMAN BECKY S	0001207365	Jun-06-2011	officer: MD & Deputy CFO
Thorpe Allen R	0001405076	Feb-16-2011	director
Ragatz Erik D.	0001469085	Feb-16-2011	director
RIEPE JAMES S	0001203072	Dec-01-2010	director
STIEFLER JEFFREY E	0001227965	Dec-01-2010	director
Brennan John Joseph	0001485472	Dec-01-2010	director
Stearns Esther M	0001405119	Nov-17-2010	officer: President & COO
Dwyer William E III	0001405121	Nov-17-2010	officer: MD & Pres., Nat'l Sales&Mktg
Casady Mark S	0001405275	Nov-17-2010	director, officer: Chairman & Chief Exec. Officer
Putnam James S	0001405298	Nov-17-2010	director
Brown Stephanie L	0001405364	Nov-17-2010	officer: MD & General Counsel
Eaton Jonathan	0001487486	Nov-17-2010	officer: MD, Custom Clearing Services
Arnold Dan H.	0001487487	Nov-17-2010	officer: MD & Division President, FIS
Abood Denise M.	0001487488	Nov-17-2010	officer: MD, Human Capital
McDermott John J.	0001487482	Mar-09-2010	officer: MD, Chief Enterprise Risk
Helliker Mark	0001487483	Mar-09-2010	officer: MD, B/D Support Services
Feeney Christopher	0001487484	Mar-09-2010	officer: MD, Chief Information Officer
Thomas Lux	0001466673	Jun-15-2009	officer: EVP, CAO
BOYCE RICHARD W	0001180366	Jun-02-2009	director
BONDERMAN DAVID	0000860866	Apr-24-2009	10 percent owner
COULTER JAMES G	0001099776	Apr-24-2009	10 percent owner
TPG Advisors IV, Inc.	0001304965	Apr-24-2009	10 percent owner
Moore Robert J.	0001445185	Sep-09-2008	officer: Chief Financial Officer
Maher Bill	0001289076	Jun-29-2007	officer: Managing Director, CFO
Haines Marshall	0001350742	Jun-29-2007	director
Goldstein Jeffrey A	0001375299	Jun-29-2007	director
Black Steven M.	0001405044	Jun-29-2007	officer: Mng Dir., Chief Risk Officer
Tuorto Joseph P	0001405120	Jun-29-2007	officer: Managing Dir., Chief Comp Off

Includes all SEC registration details as well as a list of all documents (S-1, Prospectus, Current Reports, 8-K, 10K, Annual Reports) filed by LPL Financial Holdings Inc.

Filings	Format	Description	Filed/Effective	File/Film Number
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-24-000166 ( Act) Size: 0 KB	Dec-09-2024
8-K/A	Document	Amendment to Current report filing Acc-no: 0001193125-24-273442 (34 Act) Size: KB	Dec-09-2024	001-34963 241535507
8-K	Document	Current report filing Acc-no: 0001397911-24-000164 (34 Act) Size: KB	Dec-09-2024	001-34963 241533920
8-K	Document	Current report filing Acc-no: 0001193125-24-271649 (34 Act) Size: KB	Dec-05-2024	001-34963 241529917
144	Document	Filing for proposed sale of securities under Rule 144 Acc-no: 0001959173-24-008477 (33 Act) Size: 0 KB	Dec-05-2024	001-34963 241529837
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-24-000158 ( Act) Size: 0 KB	Dec-04-2024
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-24-000156 ( Act) Size: 0 KB	Dec-04-2024
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-24-000154 ( Act) Size: 0 KB	Dec-04-2024
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-24-000152 ( Act) Size: 0 KB	Dec-04-2024
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-24-000150 ( Act) Size: 0 KB	Dec-04-2024
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-24-000148 ( Act) Size: 0 KB	Dec-04-2024
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-24-000146 ( Act) Size: 0 KB	Dec-04-2024
SC 13G/A	Document	Amendment to Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions Acc-no: 0002012383-24-004336 (34 Act) Size: KB	Nov-12-2024	005-85282 241445702
10-Q	Document	Quarterly report pursuant to sections 13 or 15(d) Acc-no: 0001397911-24-000141 (34 Act) Size: KB	Nov-04-2024	001-34963 241423837
8-K	Document	Current report filing Acc-no: 0001397911-24-000136 (34 Act) Size: KB	Oct-30-2024	001-34963 241410350
SC 13G/A	Document	Amendment to Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions Acc-no: 0002012383-24-001636 (34 Act) Size: KB	Oct-22-2024	005-85282 241387352
8-K	Document	Current report filing Acc-no: 0001193125-24-240432 (34 Act) Size: KB	Oct-21-2024	001-34963 241383755
8-K	Document	Current report filing Acc-no: 0001193125-24-230215 (34 Act) Size: KB	Oct-01-2024	001-34963 241343733
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-24-000130 ( Act) Size: 0 KB	Sep-16-2024
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-24-000128 ( Act) Size: 0 KB	Aug-27-2024

Recent 20 filings. View all LPL Financial Holdings Inc. filings

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Disclaimer: The information on the Service is provided with the understanding that the Company is not herein engaged in rendering legal, accounting, tax, or other professional advice and services. As such, it should not be used as a substitute for consultation with professional accounting, tax, legal or other competent advisers.