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As Of Filer Filing For·On·As Docs:Size 2/21/20 LPL Financial Holdings Inc. 10-K 12/31/19 128:14M |
Document/Exhibit Description Pages Size 1: 10-K Annual Report HTML 1.94M 2: EX-4.4 Instrument Defining the Rights of Security Holders HTML 43K 3: EX-10.11 Material Contract HTML 41K 4: EX-10.22 Material Contract HTML 155K 5: EX-21.1 Subsidiaries List HTML 36K 6: EX-23.1 Consent of Experts or Counsel HTML 33K 7: EX-31.1 Certification -- §302 - SOA'02 HTML 41K 8: EX-31.2 Certification -- §302 - SOA'02 HTML 41K 9: EX-32.1 Certification -- §906 - SOA'02 HTML 36K 10: EX-32.2 Certification -- §906 - SOA'02 HTML 36K 39: R1 Document and Entity Information Document HTML 96K 81: R2 Consolidated Statements of Income HTML 115K 120: R3 Consolidated Statements of Comprehensive Income HTML 56K 60: R4 Consolidated Statements of Comprehensive Income HTML 37K (Parentheticals) 41: R5 Consolidated Statements of Financial Condition HTML 138K 83: R6 Consolidated Statements of Financial Condition HTML 56K (Parentheticals) 122: R7 Consolidated Statements of Stockholders' Equity HTML 93K 58: R8 Consolidated Statements of Cash Flows HTML 185K 44: R9 Consolidated Statements of Cash Flows Cash, Cash HTML 48K Equivalents, and Restricted Cash Reconciliation 113: R10 Organization and Description of the Company HTML 42K 72: R11 Summary of Significant Accounting Policies HTML 134K 32: R12 Revenue (Notes) HTML 133K 51: R13 Acquisitions (Notes) HTML 39K 114: R14 Fair Value Measurements HTML 143K 73: R15 Held-to-Maturity Securities HTML 54K 33: R16 Receivables from Product Sponsors, Broker-Dealers HTML 56K and Clearing Organizations and Payables to Broker-Dealers and Clearing Organizations 52: R17 Fixed Assets HTML 76K 112: R18 Goodwill and Other Intangible Assets HTML 102K 75: R19 Accounts Payable and Accrued Liabilities HTML 45K 23: R20 Debt HTML 97K 70: R21 Leases (Notes) HTML 118K 110: R22 Income Taxes HTML 124K 99: R23 Commitments and Contingencies HTML 56K 24: R24 Stockholders' Equity Stockholders' Equity (Notes) HTML 79K 71: R25 Stock-Based Compensation HTML 139K 111: R26 Earnings per Share 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Policies HTML 51K Receivables from Advisor (Details) 82: R57 Summary of Significant Accounting Policies HTML 46K Receivables From Others (Details) 43: R58 Summary of Significant Accounting Policies HTML 37K Securities Borrowed (Details) 57: R59 Summary of Significant Accounting Policies Fixed HTML 50K Assets (Details) 106: R60 Summary of Significant Accounting Policies HTML 34K Acquisitions (Details) 93: R61 Summary of Significant Accounting Policies HTML 52K Goodwill and Other Intangible Assets (Details) 16: R62 Summary of Significant Accounting Policies Fair HTML 43K Value of Debt Instruments (Details) 62: R63 Revenue Commission Revenue (Details) HTML 63K 109: R64 Revenue Asset-Based Revenue (Details) HTML 41K 96: R65 Revenue Transaction and Fee Revenue (Details) HTML 39K 19: R66 Revenue Unearned Revenue (Details Texturals) HTML 34K 65: R67 Acquisitions (Details) HTML 62K 104: R68 Fair Value Measurements Financial Assets and HTML 105K Liabilities Measured on a Recurring and 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Exhibit |
1. | I have reviewed this Annual Report on Form 10-K of LPL Financial Holdings Inc.; |
2. | Based
on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; |
3. | Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report; |
4. | The
registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have: |
a. | Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries,
is made known to us by others within those entities, particularly during the period in which this report is being prepared; |
b. | Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles; |
c. | Evaluated the effectiveness of the
registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and |
d. | Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter (the registrant's fourth fiscal quarter in the case of an annual report) that has materially
affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and |
5. | The registrant's other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): |
a. | All
significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and |
b. | Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting. |
/s/ Dan H. Arnold | |||
President
and Chief Executive Officer (principal executive officer) |
This ‘10-K’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 2/21/20 | None on these Dates | ||
For Period end: | 12/31/19 | |||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/22/22 LPL Financial Holdings Inc. 10-K 12/31/21 128:14M 2/23/21 LPL Financial Holdings Inc. 10-K 12/31/20 125:13M |