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As Of Filer Filing For·On·As Docs:Size 2/25/16 LPL Financial Holdings Inc. 10-K 12/31/15 115:13M |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 1.20M
2: EX-10.24 Non-Employee Director Deferred Compensation Plan HTML 66K
3: EX-10.28 Third Amendment, Extension, and Incremental HTML 1.22M
Assumption Agreement
4: EX-21.1 Subsidiaries List HTML 36K
5: EX-23.1 Consent of Experts or Counsel HTML 31K
6: EX-31.1 CEO Certification Pursuant to Section 302 HTML 39K
7: EX-31.2 CFO Certification Pursuant to Section 302 HTML 39K
8: EX-32.1 CEO Certification Pursuant to Section 906 HTML 34K
9: EX-32.2 CFO Certification Pursuant to Section 906 HTML 34K
16: R1 Document and Entity Information Document HTML 59K
17: R2 Consolidated Statements of Income HTML 108K
18: R3 Consolidated Statements of Comprehensive Income HTML 52K
19: R4 Consolidated Statements of Comprehensive Income HTML 35K
(Parentheticals)
20: R5 Consolidated Statements of Financial Condition HTML 129K
21: R6 Consolidated Statements of Financial Condition HTML 45K
(Parentheticals)
22: R7 Consolidated Statements of Stockholders' Equity HTML 83K
23: R8 Consolidated Statements of Cash Flows HTML 196K
24: R9 Organization and Description of the Company HTML 41K
25: R10 Summary of Significant Accounting Policies HTML 126K
26: R11 Restructuring HTML 86K
27: R12 Fair Value Measurements HTML 152K
28: R13 Held-to-Maturity Securities HTML 53K
29: R14 Receivables from Product Sponsors, Broker-Dealers HTML 54K
and Clearing Organizations and Payables to
Broker-Dealers and Clearing Organizations
30: R15 Fixed Assets HTML 53K
31: R16 Goodwill and Other Intangible Assets HTML 99K
32: R17 Derivative Financial Instruments HTML 59K
33: R18 Accounts Payable and Accrued Liabilities HTML 43K
34: R19 Debt HTML 82K
35: R20 Income Taxes HTML 116K
36: R21 Commitments and Contingencies HTML 58K
37: R22 Stockholders' Equity Stockholders' Equity (Notes) HTML 58K
38: R23 Stock-Based Compensation HTML 154K
39: R24 Earnings per Share HTML 58K
40: R25 Employee and Advisor Benefit Plans HTML 40K
41: R26 Related Party Transactions HTML 38K
42: R27 Net Capital and Regulatory Requirements HTML 36K
43: R28 Financial Instruments with Off-Balance-Sheet HTML 37K
Credit Risk and Concentrations of Credit Risk
44: R29 Selected Quarterly Financial Data (Unaudited) HTML 75K
45: R30 Subsequent Event HTML 34K
46: R31 Summary of Significant Accounting Policies HTML 167K
(Policies)
47: R32 Summary of Significant Accounting Policies HTML 59K
(Tables)
48: R33 Restructuring (Tables) HTML 83K
49: R34 Fair Value Measurements (Tables) HTML 140K
50: R35 Held-to-Maturity Securities (Tables) HTML 54K
51: R36 Receivables from Product Sponsors, Broker-Dealers HTML 54K
and Clearing Organizations and Payables to
Broker-Dealers and Clearing Organizations (Tables)
52: R37 Fixed Assets (Tables) HTML 50K
53: R38 Goodwill and Other Intangible Assets (Tables) HTML 98K
54: R39 Derivative Financial Instruments (Tables) HTML 47K
55: R40 Accounts Payable and Accrued Liabilities (Tables) HTML 43K
56: R41 Debt (Tables) HTML 80K
57: R42 Income Taxes (Tables) HTML 118K
58: R43 Commitments and Contingencies (Tables) HTML 39K
59: R44 Stockholders' Equity (Tables) HTML 48K
60: R45 Stock-Based Compensation (Tables) HTML 146K
61: R46 Earnings per Share (Tables) HTML 54K
62: R47 Selected Quarterly Financial Data (Unaudited) HTML 73K
(Tables)
63: R48 Organization and Description of the Company HTML 50K
(Details)
64: R49 Summary of Significant Accounting Policies Other HTML 33K
Operating Expense (Details)
65: R50 Summary of Significant Accounting Policies HTML 44K
Share-Based Compensation (Details)
66: R51 Summary of Significant Accounting Policies HTML 42K
Receivables From and Payables to Clients (Details)
67: R52 Summary of Significant Accounting Policies HTML 45K
Receivables from Advisor (Details)
68: R53 Summary of Significant Accounting Policies HTML 49K
Receivables From Others (Details)
69: R54 Summary of Significant Accounting Policies HTML 35K
Securities Borrowed (Details)
70: R55 Summary of Significant Accounting Policies Fixed HTML 52K
Assets (Details)
71: R56 Summary of Significant Accounting Policies HTML 48K
Goodwill and Other Intangible Assets (Details)
72: R57 Summary of Significant Accounting Policies Fair HTML 39K
Value of Debt Instruments (Details)
73: R58 Restructuring Restructuring Table SVC (Details) HTML 77K
74: R59 Fair Value Measurements Financial Assets and HTML 117K
Liabilities Measured on a Recurring and
Nonrecurring Basis (Details)
75: R60 Held-to-Maturity Securities (Details) HTML 44K
76: R61 Held-to-Maturity Securities (Details 1) HTML 59K
77: R62 Receivables from Product Sponsors, Broker-Dealers HTML 52K
and Clearing Organizations and Payables to
Broker-Dealers and Clearing Organizations
(Details)
78: R63 Fixed Assets (Details) HTML 52K
79: R64 Fixed Assets (Details Textuals) HTML 35K
80: R65 Goodwill and Other Intangible Assets Goodwill HTML 39K
(Details)
81: R66 Intangible Assets (Components)(Details) HTML 63K
82: R67 Goodwill and Other Intangible Assets (Details HTML 38K
Textuals)
83: R68 Intangible Assets (Future Amortization HTML 47K
Expense)(Details)
84: R69 Derivative Financial Instruments (Details) HTML 39K
85: R70 Derivative Financial Instruments (Details HTML 40K
Textuals)
86: R71 Derivative Financial Instruments (Included in HTML 34K
Other Assets) (Details)
87: R72 Accounts Payable and Accrued Liabilities (Details) HTML 46K
88: R73 Debt (Credit Agreement Outstanding HTML 77K
Balance)(Details)
89: R74 Debt (Future Payments and Maturities)(Details) HTML 50K
90: R75 Debt (Credit Agreement Textuals)(Details) HTML 57K
91: R76 Income Taxes (Provision for Income Taxes) HTML 57K
(Details)
92: R77 Income Taxes (Reconciliation to Effective Rate) HTML 58K
(Details)
93: R78 Income Taxes (Deferred Income Taxes) (Details) HTML 74K
94: R79 Income Taxes (Gross Unrecognized Tax Benefits) HTML 39K
(Details)
95: R80 Income Taxes (Details Textuals) HTML 39K
96: R81 Commitments and Contingencies (Leases) (Details) HTML 43K
97: R82 Commitments and Contingencies (Future Minimum HTML 50K
Payments) (Details)
98: R83 Commitments and Contingencies (Other Commitments) HTML 44K
(Details)
99: R84 Stockholders' Equity (Dividends Paid) (Details) HTML 40K
100: R85 Stockholders' Equity (Share Repurchases) (Details) HTML 47K
101: R86 Share-Based Compensation Stock Option and Warrant HTML 51K
Assumptions (Details)
102: R87 Share-Based Compensation Stock Option and Warrant HTML 78K
Activity (Details)
103: R88 Share-Based Compensation Outstanding Stock Options HTML 64K
and Warrants (Details)
104: R89 Share-Based Compensation Restricted Stock Activity HTML 75K
(Details)
105: R90 Share-Based Compensation (Details Textuals) HTML 73K
106: R91 Earnings per Share (Details) HTML 55K
107: R92 Earnings per Share (Details Textuals) HTML 34K
108: R93 Employee and Advisor Benefit Plans (Details HTML 50K
Textuals)
109: R94 Related Party Transactions (Details) HTML 51K
110: R95 Net Capital and Regulatory Requirements (Details) HTML 34K
111: R96 Selected Quarterly Financial Data (Details) HTML 51K
112: R97 Subsequent Event (Details) HTML 47K
114: XML IDEA XML File -- Filing Summary XML 211K
113: EXCEL IDEA Workbook of Financial Reports XLSX 123K
10: EX-101.INS XBRL Instance -- lpla-20151231 XML 3.14M
12: EX-101.CAL XBRL Calculations -- lpla-20151231_cal XML 324K
13: EX-101.DEF XBRL Definitions -- lpla-20151231_def XML 836K
14: EX-101.LAB XBRL Labels -- lpla-20151231_lab XML 2.18M
15: EX-101.PRE XBRL Presentations -- lpla-20151231_pre XML 1.28M
11: EX-101.SCH XBRL Schema -- lpla-20151231 XSD 210K
115: ZIP XBRL Zipped Folder -- 0001397911-16-000219-xbrl Zip 312K
| 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. |
Chief Financial Officer (principal financial officer) | |||
| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 2/25/16 | 4 | ||
| For Period end: | 12/31/15 | |||
| 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 |