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
144	Document	Filing for proposed sale of securities under Rule 144 Acc-no: 0001959173-25-002027 (33 Act) Size: 0 KB	Mar-14-2025	001-34963 25738013
3	Document	Initial statement of beneficial ownership of securities Acc-no: 0000950170-25-036248 ( Act) Size: 0 KB	Mar-10-2025
8-K	Document	Current report filing Acc-no: 0001397911-25-000037 (34 Act) Size: KB	Mar-06-2025	001-34963 25713707
S-3	Document	Registration statement for specified transactions by certain issuers Acc-no: 0001193125-25-044160 (33 Act) Size: KB	Mar-03-2025	333-285503 25698581
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-25-000034 ( Act) Size: 0 KB	Feb-27-2025
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-25-000032 ( Act) Size: 0 KB	Feb-27-2025
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-25-000030 ( Act) Size: 0 KB	Feb-27-2025
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-25-000028 ( Act) Size: 0 KB	Feb-27-2025
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-25-000026 ( Act) Size: 0 KB	Feb-27-2025
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-25-000024 ( Act) Size: 0 KB	Feb-27-2025
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-25-000022 ( Act) Size: 0 KB	Feb-27-2025
4	Document	Statement of changes in beneficial ownership of securities Acc-no: 0001397911-25-000020 ( Act) Size: 0 KB	Feb-27-2025
8-K	Document	Current report filing Acc-no: 0001193125-25-036781 (34 Act) Size: KB	Feb-26-2025	001-34963 25670563
144	Document	Filing for proposed sale of securities under Rule 144 Acc-no: 0001959173-25-001381 (33 Act) Size: 0 KB	Feb-26-2025	001-34963 25668236
144	Document	Filing for proposed sale of securities under Rule 144 Acc-no: 0001959173-25-001369 (33 Act) Size: 0 KB	Feb-26-2025	001-34963 25666618
424B5	Document	Prospectus filed pursuant to Rule 424(b)(5) Acc-no: 0001193125-25-035284 (33 Act) Size: KB	Feb-25-2025	333-274631 25664991
8-K	Document	Current report filing Acc-no: 0001193125-25-035129 (34 Act) Size: KB	Feb-25-2025	001-34963 25663050
FWP	Document	Filing under Securities Act Rules 163/433 of free writing prospectuses Acc-no: 0001193125-25-033546 (34 Act) Size: KB	Feb-24-2025	333-274631 25658287
424B5	Document	Prospectus filed pursuant to Rule 424(b)(5) Acc-no: 0001193125-25-032851 (33 Act) Size: KB	Feb-24-2025	333-274631 25654360
10-K	Document	Annual report pursuant to section 13 and 15(d) Acc-no: 0001397911-25-000018 (34 Act) Size: KB	Feb-20-2025	001-34963 25645626

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

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