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LPL Financial Holdings Inc. – ‘10-Q’ for 9/30/14 – ‘EX-32.2’

On:  Thursday, 10/30/14, at 5:26pm ET   ·   For:  9/30/14   ·   Accession #:  1397911-14-144   ·   File #:  1-34963

Previous ‘10-Q’:  ‘10-Q’ on 7/30/14 for 6/30/14   ·   Next:  ‘10-Q’ on 4/30/15 for 3/31/15   ·   Latest:  ‘10-Q’ on 5/2/24 for 3/31/24   ·   2 References:   

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  As Of               Filer                 Filing    For·On·As Docs:Size

10/30/14  LPL Financial Holdings Inc.       10-Q        9/30/14   81:10M

Quarterly Report   —   Form 10-Q   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-Q        Quarterly Report                                    HTML    789K 
 2: EX-10.1     Material Contract                                   HTML    443K 
 3: EX-10.2     Material Contract                                   HTML     41K 
 4: EX-31.1     CEO Certification Pursuant to Section 302           HTML     31K 
 5: EX-31.2     CFO Certification Pursuant to Section 302           HTML     31K 
 6: EX-32.1     CEO Certification Pursuant to Section 906           HTML     26K 
 7: EX-32.2     CFO Certification Pursuant to Section 906           HTML     26K 
55: R1          Document and Entity Information Document            HTML     42K 
44: R2          Condensed Consolidated Statements of Income         HTML    107K 
                (Unaudited)                                                      
53: R3          Condensed Consolidated Statements of Comprehensive  HTML     42K 
                Income (Unaudited)                                               
57: R4          Condensed Consolidated Statements of Comprehensive  HTML     27K 
                Income (Unaudited) (Parentheticals)                              
75: R5          Condensed Consolidated Statements of Financial      HTML    130K 
                Condition (Unaudited)                                            
46: R6          Condensed Consolidated Statements of Financial      HTML     44K 
                Condition (Unaudited) (Parentheticals)                           
52: R7          Condensed Consolidated Statements of Stockholders'  HTML     66K 
                Equity (Unaudited)                                               
40: R8          Condensed Consolidated Statements of Cash Flows     HTML    176K 
                (Unaudited)                                                      
30: R9          Organization and Description of the Company         HTML     26K 
76: R10         Summary of Significant Accounting Policies          HTML     33K 
59: R11         Restructuring                                       HTML     56K 
58: R12         Fair Value Measurements                             HTML    147K 
64: R13         Held-to-Maturity Securities                         HTML     45K 
65: R14         Derivative Financial Instruments                    HTML     53K 
62: R15         Goodwill and Other Intangible Assets                HTML     29K 
66: R16         Debt                                                HTML     76K 
54: R17         Commitments and Contingencies                       HTML     41K 
56: R18         Stockholders' Equity                                HTML    112K 
61: R19         Share-Based Compensation                            HTML    124K 
81: R20         Earnings per Share                                  HTML     56K 
71: R21         Income Taxes                                        HTML     29K 
49: R22         Related Party Transactions                          HTML     32K 
60: R23         Net Capital and Regulatory Requirements             HTML     29K 
51: R24         Financial Instruments with Off-Balance-Sheet        HTML     28K 
                Credit Risk and Concentrations of Credit Risk                    
23: R25         Subsequent Event                                    HTML     28K 
72: R26         Summary of Significant Accounting Policies          HTML     40K 
                (Policies)                                                       
78: R27         Restructuring (Tables)                              HTML     54K 
35: R28         Fair Value Measurements (Tables)                    HTML    131K 
34: R29         Held-to-Maturity Securities (Tables)                HTML     46K 
38: R30         Derivative Financial Instruments (Tables)           HTML     47K 
39: R31         Debt (Tables)                                       HTML     72K 
41: R32         Stockholders' Equity (Tables)                       HTML    107K 
20: R33         Share-Based Compensation (Tables)                   HTML    200K 
69: R34         Earnings per Share (Tables)                         HTML     52K 
48: R35         Summary of Significant Accounting Policies Fair     HTML     30K 
                Value of Financial Instruments (Details)                         
50: R36         Restructuring (Details)                             HTML     24K 
26: R37         Restructuring Table (Details 1)                     HTML     46K 
80: R38         Fair Value Measurements Financial Assets and        HTML     88K 
                Liabilities Measured on a Recurring and                          
                Nonrecurring Basis (Details)                                     
14: R39         Fair Value Measurements Changes in Level 3          HTML     24K 
                Recurring Fair Value Measurements (Details                       
                Textuals)                                                        
42: R40         Held-to-Maturity Securities (Details)               HTML     34K 
74: R41         Held-to-Maturity Securities (Details 1)             HTML     49K 
25: R42         Derivative Financial Instruments (Details)          HTML     31K 
33: R43         Derivative Financial Instruments (Details 1)        HTML     24K 
37: R44         Derivative Financial Instruments (Details           HTML     26K 
                Textuals)                                                        
45: R45         Debt (Credit Agreement Outstanding)(Details)        HTML     40K 
19: R46         Debt (LOC Borrowing Activity)(Details)              HTML     27K 
29: R47         Debt (Credit Agreement Textuals)(Details)           HTML     51K 
16: R48         Debt Debt (Bank Loans Payable Textuals) (Details)   HTML     33K 
73: R49         Commitments and Contingencies (Leases) (Details)    HTML     38K 
24: R50         Commitments and Contingencies Commitments and       HTML     33K 
                Contingencies (Other Commitments) (Details)                      
70: R51         Commitments and Contingencies Commitments and       HTML     24K 
                Contingencies (Legal) (Details)                                  
27: R52         Stockholders' Equity (Dividends Paid) (Details)     HTML     29K 
43: R53         Stockholdes' Equity (Share Repurchases) (Details)   HTML     43K 
15: R54         Share-Based Compensation (Texuals) (Details)        HTML     55K 
18: R55         Share-Based Compensation Stock Option and Warrant   HTML     38K 
                Assumptions (Details)                                            
36: R56         Share-Based Compensation Stock Option and Warrant   HTML     59K 
                Activity (Details)                                               
22: R57         Share-Based Compensation Outstanding Stock Options  HTML     51K 
                and Warrant Information (Details)                                
77: R58         Restricted Stock Activity (Details)                 HTML     51K 
47: R59         Earnings per Share (Details)                        HTML     45K 
63: R60         Earnings per Share (Textuals) (Details)             HTML     26K 
28: R61         Income Taxes (Details)                              HTML     29K 
31: R62         Related Party Transactions (Details)                HTML     48K 
68: R63         Net Capital and Regulatory Requirements (Details)   HTML     28K 
67: R64         Subsequent Event Subsequent Events (Details)        HTML     40K 
79: XML         IDEA XML File -- Filing Summary                      XML    118K 
17: EXCEL       IDEA Workbook of Financial Reports                  XLSX    186K 
32: EXCEL       IDEA Workbook of Financial Reports (.xls)            XLS   1.34M 
 8: EX-101.INS  XBRL Instance -- lpla-20140930                       XML   2.10M 
10: EX-101.CAL  XBRL Calculations -- lpla-20140930_cal               XML    205K 
11: EX-101.DEF  XBRL Definitions -- lpla-20140930_def                XML    717K 
12: EX-101.LAB  XBRL Labels -- lpla-20140930_lab                     XML   1.48M 
13: EX-101.PRE  XBRL Presentations -- lpla-20140930_pre              XML    856K 
 9: EX-101.SCH  XBRL Schema -- lpla-20140930                         XSD    142K 
21: ZIP         XBRL Zipped Folder -- 0001397911-14-000144-xbrl      Zip    214K 


‘EX-32.2’   —   CFO Certification Pursuant to Section 906


This Exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]



 <!   C:   C: 
  Exhibit 32.2 2014.09.30  


Exhibit 32.2

CERTIFICATION PURSUANT TO
18 U.S.C. SECTION 1350,
AS ADOPTED PURSUANT TO
SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002

     In connection with the Quarterly Report on Form 10-Q of LPL Financial Holdings Inc. (the “Company”) for the period ending September 30, 2014 as filed with the Securities and Exchange Commission (“SEC”) on the date hereof (the “Report”), I, Dan H. Arnold, Chief Financial Officer of the Company, certify, pursuant to 18 U.S.C. 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002, that:

1)
The Report fully complies with the requirements of section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended; and

2)
The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company.

     A signed original of this written statement has been provided to the Company and will be retained by the Company and furnished to the SEC or its staff upon request.

Date: October 30, 2014

 
 
 
 
 
 
Chief Financial Officer 
 
 




Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-Q’ Filing    Date    Other Filings
Filed on:10/30/148-K
For Period end:9/30/14
 List all Filings 


2 Subsequent Filings that Reference this Filing

  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
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Filing Submission 0001397911-14-000144   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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