0001959173-23-003907.txt : 20230913 0001959173-23-003907.hdr.sgml : 20230913 20230913101652 ACCESSION NUMBER: 0001959173-23-003907 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20230913 DATE AS OF CHANGE: 20230913 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 231251776 BUSINESS ADDRESS: STREET 1: 4707 EXECUTIVE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 800-877-7210 MAIL ADDRESS: STREET 1: 4707 EXECUTIVE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: LPL Investment Holdings Inc. DATE OF NAME CHANGE: 20070427 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: Steinmeier Richard CENTRAL INDEX KEY: 0001750576 FILING VALUES: FORM TYPE: 144 MAIL ADDRESS: STREET 1: C/O LPL FINANCIAL HOLDINGS, INC. STREET 2: 75 STATE STREET, 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02109 144 1 primary_doc.xml 144 0001750576 XXXXXXXX LIVE 0001397911 LPL Financial Holdings Inc. 001-34963 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 800-877-7210 Steinmeier Richard Officer Common Fidelity Brokerage Services LLC

900 Salem Street Smithfield RI 02917

10300 2509492.00 76297391 09/13/2023 NASDAQ Common 09/07/2021 Restricted Stock Vesting Issuer N 3799 09/07/2021 Compensation Common 02/25/2022 Restricted Stock Vesting Issuer N 5912 02/25/2022 Compensation Common 09/07/2022 Restricted Stock Vesting Issuer N 589 09/07/2022 Compensation Y 09/13/2023 06/14/2023 /s/ Ryan Riviere, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Richard Steinmeier