0001209191-13-005183.txt : 20130130 0001209191-13-005183.hdr.sgml : 20130130 20130130162851 ACCESSION NUMBER: 0001209191-13-005183 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130128 FILED AS OF DATE: 20130130 DATE AS OF CHANGE: 20130130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brown Stephanie L CENTRAL INDEX KEY: 0001405364 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 13559443 MAIL ADDRESS: STREET 1: C/O ONE BEACON STREET STREET 2: 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LPL Financial Holdings Inc. CENTRAL INDEX KEY: 0001397911 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 203717839 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 75 STATE STREET STREET 2: 24TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617 423 3644 MAIL ADDRESS: STREET 1: 75 STATE STREET STREET 2: 24TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 FORMER COMPANY: FORMER CONFORMED NAME: LPL Investment Holdings Inc. DATE OF NAME CHANGE: 20070427 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-01-28 0 0001397911 LPL Financial Holdings Inc. LPLA 0001405364 Brown Stephanie L C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET, 24TH FLOOR BOSTON MA 02109 0 1 0 0 MD & General Counsel Common Stock 2013-01-28 4 S 0 10349 32.00 D 563719.8 D Common Stock 2013-01-29 4 S 0 11000 33.00 D 552719.8 D Common Stock 2013-01-29 4 S 0 10349 34.00 D 542370.8 D The sales reported in this Form 4 were effected pursuant to Rule 10b5-1 trading plans adopted by the reporting person on September 14, 2012. /s/ Stephanie L. Brown 2013-01-30