LPL Financial is the largest US independent broker/dealer, with more than 32,000 financial advisors, roughly 11 million customer accounts, and roughly $2.4 trillion in client assets under management or advisory affiliated with its platform at the end of 2025. The firm earns the bulk of its profit from interest income earned on client cash balances and from advisory fees, commissions, and asset-based fees. LPL specializes in providing turnkey wealth management services for affiliated independent advisors, but maintains a diverse array of affiliation modalities, running the gamut from more traditional employee models to a pure RIA custody approach. It earns tuck-in revenue from recordkeeping fees and the provision of software tools and services to its advisor base.
Footnote F1 (shares): These shares represent restricted stock that was granted under the Issuer's 2021 Omnibus Equity Incentive Plan pursuant to the Issuer's Non-Employee Director Compensation Policy. This restricted stock is scheduled to vest in full on May 20, 2027.
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 20, 2027. These stock units are subject to a written deferral election under… Full note on SEC EDGAR
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 20, 2027. These stock units are subject to a written deferral… Full note on SEC EDGAR
Footnote F2 (shares): Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. These stock units are subject to a written deferral election under the DDCP pursuant to which the reporting person elected to defer… Full note on SEC EDGAR
Footnote F2 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $325.00 to $325.01, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F3 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $326.12 to $326.33, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F4 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $326.93 to $327.47, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F5 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $328.34 to $328.35, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F6 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $330.69 to $331.56, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F7 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $331.69 to $332.43, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral… Full note on SEC EDGAR
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral… Full note on SEC EDGAR
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral… Full note on SEC EDGAR
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral… Full note on SEC EDGAR
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral… Full note on SEC EDGAR
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral… Full note on SEC EDGAR
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral… Full note on SEC EDGAR
Footnote F1 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $309.66 to $310.30, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F1 (shares): Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2023. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined… Full note on SEC EDGAR
Footnote F2 (shares): These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2027, February 25, 2028 and… Full note on SEC EDGAR
Footnote F1 (shares): Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2023. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined… Full note on SEC EDGAR
Footnote F2 (shares): These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2027, February 25, 2028 and… Full note on SEC EDGAR
Footnote F1 (shares): These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2027, February 25, 2028 and… Full note on SEC EDGAR
Footnote F1 (shares): Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2023. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined… Full note on SEC EDGAR
Footnote F2 (shares): These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2027, February 25, 2028 and… Full note on SEC EDGAR
Footnote F1 (shares): Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2023. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined… Full note on SEC EDGAR
Footnote F2 (shares): These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2027, February 25, 2028 and… Full note on SEC EDGAR
Footnote F3 (shares): These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. One-half of these restricted stock units will vest on February 25, 2028 and the other half of such RSUs to… Full note on SEC EDGAR
Footnote F1 (shares): These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2027, February 25, 2028 and… Full note on SEC EDGAR
Footnote F1 (shares): Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2023. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined… Full note on SEC EDGAR
Footnote F2 (shares): These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2027, February 25, 2028 and… Full note on SEC EDGAR
Footnote F4 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $317.87 to $318.79, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F5 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $319.16 to $319.60, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F6 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $320.48 to $321.47, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F7 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $321.48 to $321.82, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F8 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $322.50 to $322.90, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F1 (shares): Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2023. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined… Full note on SEC EDGAR
Footnote F2 (shares): These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2027, February 25, 2028 and… Full note on SEC EDGAR
Footnote F1 (shares): Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2023. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined… Full note on SEC EDGAR
Footnote F2 (shares): These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2027, February 25, 2028 and… Full note on SEC EDGAR
Footnote F4 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $318.07 to $319.05, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F5 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $319.17 to $319.52, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F6 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $320.70 to $321.37, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F7 (price): The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $321.97 to $322.69, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial… Full note on SEC EDGAR
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 13, 2026. These stock units are subject to a written deferral election under… Full note on SEC EDGAR
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral… Full note on SEC EDGAR
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral… Full note on SEC EDGAR
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral… Full note on SEC EDGAR
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral… Full note on SEC EDGAR
Footnote F1 (shares): Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral… Full note on SEC EDGAR
An insider files Form 144 before selling restricted or control stock. It announces a planned sale. If the sale goes ahead, it shows up later on a Form 4.
LPL Financial Holdings Inc. (LPLA) had 13 insider filings in the last 90 days, with the most recent on 2026-09-14. The full record for LPLA runs to 95 Form 4 filings, the earliest from 2024-12-04. InsiderAlpha adds new Form 4, Form 144 and 8-K filings as they arrive from SEC EDGAR.
How many insiders are buying LPLA stock?
No insider purchases of LPLA were filed in the last 90 days.
How many insiders are selling LPLA stock?
8 insider sales of LPLA were filed in the last 90 days, totaling $2.08M.
Where can I see LPLA SEC filings (Form 4, 10-K, 10-Q, 8-K)?
This page collects LPLA Form 4 insider transactions, Form 144 sale notices and 8-K filings in one place. Annual 10-K and quarterly 10-Q reports live on the company's SEC EDGAR page.
Dollar totals cover purchases and sales only (codes P and S). Grants, option exercises, gifts and tax withholding are counted in shares, because none of them is a trade at a market price.
House of Representatives Periodic Transaction Reports from 2024. Senate filings are not included yet. The full history of LPLA beside its insider purchases is in the Congress Tracker.
Katharine Reeping - OfficerOpen-market sale$153K
William Francis Glavin Jr. - Director
Paulett Eberhart - Director
Edward C. Bernard - Director
Matthew J. Audette - Officer
Corey E. Thomas - Director
Richard P. Schifter - Director
Allison Mnookin - Director
Marc Eliot Cohen - Officer
Matthew Morningstar - Officer
Gilbert Ray Cisneros, Jr.Democrat, CA-31
