0001959173-23-004489.txt : 20231102 0001959173-23-004489.hdr.sgml : 20231102 20231102141105 ACCESSION NUMBER: 0001959173-23-004489 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20231102 DATE AS OF CHANGE: 20231102 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: 231371359 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: Jambusaria Aneri CENTRAL INDEX KEY: 0001966430 FILING VALUES: FORM TYPE: 144 MAIL ADDRESS: STREET 1: C/O LPL FINANCIAL HOLDINGS INC. STREET 2: 4707 EXECUTIVE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 144 1 primary_doc.xml 144 0001966430 XXXXXXXX LIVE 0001397911 LPL Financial Holdings Inc. 001-34963 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 800-877-7210 Jambusaria Aneri Officer Common Fidelity Brokerage Services LLC

900 Salem Street Smithfield RI 02917

1930 429177.00 75620553 11/02/2023 NASDAQ Common 06/05/2023 Restricted Stock Vesting Issuer N 1478 06/05/2023 Compensation Common 02/25/2023 Restricted Stock Vesting Issuer N 452 02/25/2023 Compensation Y 11/02/2023 /s/Wade Moss, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Aneri Jambusaria