Updated Jul 16, 2026 · Last SEC filing 2026-06-22
LPL Financial Holdings Inc. (LPLA) has filed 21 SEC Form 4 insider transactions in the last 90 days, with the most recent on 2026-06-22. 2 Form 8-K material event filings were reported by LPLA in the last 90 days. 1 Form 144 notices of proposed sale were filed for LPLA stock. InsiderAlpha tracks every LPLA SEC filing — Form 4, Form 144, and 8-K — in real time, including Rule 10b5-1 plan detection.
| SIC classification | Security & Commodity Brokers, Dealers, Exchanges & Services (SIC 6200) |
|---|---|
| SEC CIK | 0001397911 |
| Form 4 filings (90d) | 21 |
|---|---|
| Form 8-K filings (90d) | 2 |
| Form 144 notices (90d) | 1 |
| Latest Form 4 filing | 2026-06-22 |
| Date | Insider | Role | Transaction | Shares | Price | Value | Filing |
|---|---|---|---|---|---|---|---|
| Jambusaria Aneri | Group Managing Director | S — Open-market sale | 308 | $306.00 | $94K | SEC | |
| Gates Greg | Group Managing Director | F — Tax withholding / forfeiture | 232 | $295.66 | $69K | SEC | |
| Cohen Marc Eliot | Group Managing Director | F — Tax withholding / forfeiture | 44 | $295.66 | $13K | SEC | |
| SCHIFTER RICHARD P | Director | A — Grant or award | 19 | $0.00 | — | SEC | |
| EBERHART PAULETT | Director | A — Grant or award | 5 | $0.00 | — | SEC | |
| Putnam James S | Director | A — Grant or award | 10 | $0.00 | — | SEC | |
| Mnookin Allison | Director | A — Grant or award | 3 | $0.00 | — | SEC | |
| Glavin William Francis Jr | Director | A — Grant or award | 15 | $0.00 | — | SEC | |
| BERNARD EDWARD C | Director | A — Grant or award | 4 | $0.00 | — | SEC | |
| Thomas Corey E. | Director | A — Grant or award | 7 | $0.00 | — | SEC | |
| SCHIFTER RICHARD P | Director | A — Grant or award | 712 | $0.00 | — | SEC | |
| Khanna Somesh | Director | A — Grant or award | 712 | $0.00 | — | SEC | |
| Thomas Corey E. | Director | A — Grant or award | 712 | $0.00 | — | SEC | |
| Thomas Corey E. | Director | A — Grant or award | 348 | $0.00 | — | SEC | |
| EBERHART PAULETT | Director | A — Grant or award | 712 | $0.00 | — | SEC |
All transactions sourced from SEC EDGAR Form 4 filings for LPL Financial Holdings Inc. (LPLA). Updated in real time as new filings are submitted to the SEC.
| Insider | Form 4 filings | Total transaction value |
|---|---|---|
| Putnam James S | 3 | — |
| Thomas Corey E. | 3 | — |
| BERNARD EDWARD C | 3 | — |
| SCHIFTER RICHARD P | 3 | — |
| EBERHART PAULETT | 2 | — |
Form 144 must be filed before insiders sell restricted or control stock above SEC thresholds. A cluster of Form 144 notices often precedes a wave of insider distribution.
SEC Form 4 transactions are reported with a one-letter code indicating the type of transaction. Common codes you'll see in LPLA insider filings:
| P | Open-market purchase by the insider |
|---|---|
| S | Open-market sale by the insider |
| A | Grant, award, or other acquisition from the issuer |
| M | Exercise or conversion of derivative security (e.g. options) |
| F | Payment of exercise price or tax liability via share withholding |
| G | Bona-fide gift of securities |
| D | Disposition to the issuer (e.g. share buyback participation) |
| J | Other acquisition or disposition |
| X | Exercise of in-the-money or at-the-money derivative security |
| C | Conversion of derivative security |
| V | Transaction voluntarily reported earlier than required |
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