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LPL Financial Holdings Inc. 
 CA
  SEC # 1397911


        
3  Related Registrants:   

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1,507  SEC Filings
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  from  4/30/07  to  3/28/24  (Today)

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  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘ARS’ — Annual Report to Security Holders — for 12/31/23 — Filed as:  Filer / Offerer 
 
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notifications of all
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Filings
involving  LPL Financial Holdings Inc. 

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Forms
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, Documents
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& Exhibits
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 in  352 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
3/28/24 New Document this Past Month!ARSUpdate:  Annual Reports to Security Holders  New Document this Past Month! 2
3/28/24 New Document this Past Month!DEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A  New Document this Past Month! 14
3/28/24 New Document this Past Month!DEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  New Document this Past Month!  — Financial Reports
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19
2/29/24 New Document this Past Month!8-KUpdate:  Current Reports — Form 8-K  New Document this Past Month!  — Press Releases
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& Conference Calls
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 — Financial Reports
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183

8-K Items: 
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11/17/23
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01 — ‘EX-10’
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16
12/11/15 OLD"Termination of a Material Definitive Agreement — Item 1.02  OLD  — ‘EX-10’
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3
1/22/08 OLD
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  Financial Info: 
Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ‘EX-2’
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2
2/1/24"Results of Operations and Financial Condition — Item 2.02 — Financial Reports
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60
11/17/23"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03 — ‘EX-10’
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10
2/24/15 OLD"Cost Associated with Exit or Disposal Activities — Item 2.05  OLD  — ‘EX-2’
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5
12/18/08 OLD
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  Securities & Trading: 
Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ‘EX-4’
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1
2/29/24 New Document this Past Month!
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  Governance & Management: 
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  New Document this Past Month!  — List of Directors & Officers
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44
2/20/24"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03 — ‘EX-3’
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7
5/12/23"Submission of Matters to a Vote of Security Holders — Item 5.07 — ‘EX-22’
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14
2/13/24
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  Disclosures: 
Regulation FD Disclosure — Item 7.01 — ‘EX-99’
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44
11/9/23
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  Events: 
Other Events — Item 8.0138
2/20/24
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  Financials: 
Financial Statements and Exhibits — Item 9.01 — Financial Reports
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135

2/21/2410-KUpdate:  Annual Reports — Form 10-K — Financial Reports
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19
11/13/23424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events2
11/8/23FWPRegistration:  Prospectus – Free Writing1
11/2/23305B2Registration:  Statement of Eligibility to Act as a Trustee by a Corporation — Form T-11
11/2/23EFFECTSEC:  SEC Notices of Effectiveness2
10/31/2310-QUpdate:  Quarterly Reports — Form 10-Q — Financial Reports
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50
10/30/23CORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ] — All Correspondence with the SEC
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19
10/27/23S-3Registration:  Registration Statements – Securities for Transactions — Form S-33
5/7/21 OLDS-8 POSRegistration:  Post-Effective Amendment of a Form S-8 Registration  OLD 1
5/5/21 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 5
12/3/20 OLDDFAN14AProxy:  Definitive Additional Non-Management Proxy Soliciting Material — Schedule 14A  OLD 1
12/20/19 OLDCT ORDERSEC:  SEC Confidential Treatment Orders  OLD 5
2/9/17 OLDS-3ASRRegistration:  Automatic Shelf Registration Statements by Well-Known Issuers — Form S-3  OLD 2
3/17/15 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD 4
2/13/14 OLD424B7Registration:  Prospectuses – Selling Security Holders – Info Previously Omitted  OLD 5
7/31/13 OLDIRANNOTICEUpdate:  Notice of an Iran/Syria Disclosure in a Quarterly or Annual Report  OLD 1
11/18/10 OLDCERTNASTrading:  Certification by the Nasdaq Stock Market Approving a Listing — Form CERT  OLD 1
11/18/10 OLD424B4Registration:  Prospectus – Info Previously Omitted & New Facts or Events  OLD 1
11/17/10 OLDS-1MEFRegistration:  Registration Statement to Add Securities to a Prior Form S-1 Registration  OLD 1
11/15/10 OLDS-1Registration:  Registration Statements (General Form) — Form S-1  OLD 6
11/12/10 OLD8-A12BRegistration:  Registration Statement for a Class of Securities — Form 8-A  OLD 1
6/28/10 OLDDEF 14CProxy:  Definitive Proxy Info Statement — Schedule 14C  OLD 1
6/18/10 OLDPRE 14CProxy:  Preliminary Proxy Info Statement — Schedule 14C  OLD 1
11/25/09 OLDDRegistration:  Notice of an Exempt Offering of Securities — Form D  OLD 1
4/29/09 OLD15-12GRegistration:  Certification of a Termination of Registration of a Class of Securities — Form 15  OLD 1
4/24/09 OLD8-A12GRegistration:  Registration Statement for a Class of Securities — Form 8-A  OLD 1
6/26/08 OLDREGDEXRegistration:  Notices of Exempt Offerings of Securities — Form D  OLD 2
7/30/07 OLD10-12GRegistration:  Registration Statements — Form 10  OLD 3

General Exhibits: 
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2/21/24EX-97Clawback Policy re: Recovery of Erroneously Awarded Compensation1
2/21/24EX-23Consents of Experts and Counsel35
2/21/24EX-4Instruments, Including Indentures, Defining the Rights of Security Holders31
2/21/24EX-10Material Contracts112
2/21/24EX-22Published Reports re: Matters Submitted to Votes of Security Holders4
2/21/24EX-21Subsidiaries Lists21
2/20/24EX-3Articles of Incorporation/Organization and Bylaws31
11/17/23EX-5Opinions of Counsel re: Legality19
11/9/23EX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)5
10/27/23EX-FILING FEESFiling Fees3
8/15/17 OLDEX-2Plan of Acquisition, Reorganization, Arrangement, Liquidation or Succession  OLD 1

Additional Exhibits: 
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2/13/24EX-99Miscellaneous Exhibits, such as Press Releases — Press Releases
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& Conference Calls
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123

Financials: 
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3/28/24 New Report this Past Month!XML  &  R#IDEA Financial Reports Info  New Report this Past Month!  — Financial Reports
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4,092
3/28/24 New Exhibit this Past Month!EX-101.*XBRL Data  (XBRL Files)  New Exhibit this Past Month! 484
3/28/24 New Exhibit this Past Month!JSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  New Exhibit this Past Month! 84
3/28/24 New Folder this Past Month!ZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  New Folder this Past Month! 
107
2/29/24 New Workbook this Past Month!EXCELIDEA Workbooks of Financial Reports Info  New Workbook this Past Month!  — Workbooks of Financial Reports
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113
2/21/24EX-31Certifications — §302 – SOA’02138
2/21/24EX-32Certifications — §906 – SOA’02138
2/9/17 OLDEX-12Statement re: the Computation of Ratios  OLD 1
11/13/08 OLDEX-18Letter re: a Change in Accounting Principles or Practices  OLD 1

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3/28/24 New Graphic this Past Month!GRAPHICPhotos, Images and Graphs  New Graphic this Past Month! 677


Forms
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, Documents
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& Exhibits
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 in  1,156 Filings
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 Filed re:  Issuer / Subject Company


        
New Filing!  List all Money Managers that own this Security Issuer:  CUSIP 50212V
 

        
Latest Filing  Type    Category    Description        Documents
     
3/28/24 New Document this Past Month!4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  New Document this Past Month! 976
2/26/24144Ownership:  Notices of Proposed Sales of Securities by Insiders — Form 14418
2/13/24SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G66
1/8/243Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 368
11/8/23FWPRegistration:  Prospectus – Free Writing1
2/21/23 OLD5Ownership:  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5  OLD 6
1/14/16 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 3

Letters: 
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10/6/23LETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ] — All Correspondence with the SEC18
10/6/23TEXT-EXTRACTComment or Other Letter from the SEC – PDF’s Text  [ a.k.a. LETTER ]1

General Exhibits: 
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1/8/24EX-24Powers of Attorney65
1/14/16 OLDEX-2Plan of Acquisition, Reorganization, Arrangement, Liquidation or Succession  OLD 1
2/12/10 OLDEX-1Underwriting Agreement or Conflict Minerals Report  (or mislabeled “1st Exhibit”)  OLD 1

Additional Exhibits: 
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12/14/18 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 21

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1/8/24GRAPHICPhotos, Images and Graphs5


        

Filings History

Year    # of Filings
In descending order
2024 41
2023 113
2022 87
2021 112
2020 104
2019 90
2018 106
2017 109
2016 85
2015 97
2014 81
2013 102
2012 127
2011 75
2010 80
2009 41
2008 34
2007 23

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