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LPL Financial Holdings Inc. – ‘10-Q’ for 3/31/20 – ‘EX-32.1’

On:  Tuesday, 5/5/20, at 4:08pm ET   ·   For:  3/31/20   ·   Accession #:  1397911-20-100   ·   File #:  1-34963

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

 5/05/20  LPL Financial Holdings Inc.       10-Q        3/31/20   89:9.1M

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   1.13M 
 2: EX-31.1     Certification -- §302 - SOA'02                      HTML     33K 
 3: EX-31.2     Certification -- §302 - SOA'02                      HTML     33K 
 4: EX-32.1     Certification -- §906 - SOA'02                      HTML     28K 
 5: EX-32.2     Certification -- §906 - SOA'02                      HTML     28K 
55: R1          Document and Entity Information Document            HTML     79K 
23: R2          Condensed Consolidated Statements of Income         HTML    103K 
                (Unaudited)                                                      
32: R3          Condensed Consolidated Statements of Financial      HTML    131K 
                Condition (Unaudited)                                            
84: R4          Condensed Consolidated Statements of Financial      HTML     47K 
                Condition (Unaudited) (Parentheticals)                           
53: R5          Condensed Consolidated Statements of Stockholders'  HTML     77K 
                Equity (Unaudited)                                               
22: R6          Condensed Consolidated Statements of Cash Flows     HTML    155K 
                (Unaudited)                                                      
31: R7          Condensed Consolidated Statements of Cash Flows     HTML     40K 
                (Unaudited) cash, cash equivalent and restricted                 
                cash reconciliation                                              
82: R8          Organization and Description of the Company         HTML     33K 
56: R9          Summary of Significant Accounting Policies          HTML     61K 
57: R10         Revenue                                             HTML    101K 
81: R11         Acquisitions Acquisitions                           HTML     28K 
33: R12         Fair Value Measurements                             HTML    137K 
20: R13         Held-to-Maturity Securities                         HTML     46K 
58: R14         Goodwill and Other Intangible Assets                HTML     27K 
83: R15         Borrowings                                          HTML     99K 
34: R16         Leases                                              HTML    116K 
21: R17         Commitments and Contingencies                       HTML     41K 
54: R18         Stockholders' Equity                                HTML     42K 
85: R19         Share-Based Compensation                            HTML    114K 
47: R20         Earnings per Share                                  HTML     41K 
18: R21         Income Taxes                                        HTML     28K 
68: R22         Related Party Transactions                          HTML     30K 
76: R23         Net Capital and Regulatory Requirements             HTML     30K 
48: R24         Financial Instruments with Off-Balance-Sheet        HTML     31K 
                Credit Risk and Concentrations of Credit Risk                    
19: R25         Summary of Significant Accounting Policies          HTML     55K 
                (Policies)                                                       
69: R26         Summary of Significant Accounting Policies Summary  HTML     50K 
                of Significant Accounting Policies (Tables)                      
77: R27         Revenue (Tables)                                    HTML     85K 
49: R28         Fair Value Measurements (Tables)                    HTML    128K 
17: R29         Held-to-Maturity Securities (Tables)                HTML     46K 
25: R30         Outstanding Borrowings (Tables)                     HTML     87K 
37: R31         Leases (Tables)                                     HTML     90K 
80: R32         Stockholders' Equity (Tables)                       HTML     44K 
52: R33         Share-Based Compensation (Tables)                   HTML    113K 
24: R34         Earnings per Share (Tables)                         HTML     40K 
36: R35         Organization and Description of the Company         HTML     32K 
                Consolidation, Parent Ownership Interest (Details)               
79: R36         Summary of Significant Accounting Policies          HTML     37K 
                Receivables From and Payables to Clients (Details)               
51: R37         Summary of Significant Accounting Policies          HTML     44K 
                Receivables from Advisor (Details)                               
26: R38         Summary of Significant Accounting Policies          HTML     37K 
                Receivables From Others (Details)                                
35: R39         Summary of Significant Accounting Policies Fair     HTML     34K 
                Value of Financial Instruments (Details)                         
12: R40         Revenue Commission Revenue Disaggregated by         HTML     41K 
                Product Category (Details)                                       
44: R41         Revenue Commission Revenue Disaggregated by         HTML     56K 
                Product Category and Timing of Transfer of Good or               
                Service (Details)                                                
75: R42         Revenue Asset-based Revenue disaggregated by        HTML     33K 
                Product and Service (Details)                                    
67: R43         Revenue Transaction and Fee Revenue Disaggregated   HTML     31K 
                by Timing of Transfer of Good or Service (Details)               
11: R44         Revenue Unearned Revenue Recognized (Details)       HTML     26K 
43: R45         Acquisitions (Details)                              HTML     39K 
74: R46         Fair Value Measurements Financial Assets and        HTML    103K 
                Liabilities Measured on a Recurring and                          
                Nonrecurring Basis (Details)                                     
65: R47         Held-to-Maturity Securities (Details)               HTML     34K 
13: R48         Held-to-Maturity Securities (Details 1)             HTML     51K 
42: R49         Goodwill and Other Intangible Assets Goodwill       HTML     27K 
                (Details)                                                        
38: R50         Goodwill and Other Intangible Assets Intangible     HTML     31K 
                Assets (Components) (Details)                                    
28: R51         Goodwill and Other Intangible Assets Goodwill and   HTML     28K 
                Other Intangible Assets (Details Textures)                       
60: R52         Borrowings (Credit Agreement Outstanding)           HTML     65K 
                (Details)                                                        
88: R53         Borrowings (Credit Agreement Textuals) (Details)    HTML    106K 
39: R54         Borrowings Broker-Dealer Revolving Credit Facility  HTML     41K 
                (Details)                                                        
29: R55         Borrowings Line of Credit (Bank Loans Payable       HTML     37K 
                Textuals) (Details)                                              
61: R56         Borrowings Letters of Credit (Details)              HTML     32K 
89: R57         Leases Narrative (Details)                          HTML     35K 
40: R58         Leases Components of Lease Expense (Details)        HTML     34K 
27: R59         Leases Supplemental Cash Flow Information Related   HTML     32K 
                to Leases (Details)                                              
63: R60         Leases Supplemental Weighted-Average Information    HTML     37K 
                Related to Leases (Details)                                      
71: R61         Leases Maturities of Lease Liabilities (Details)    HTML     66K 
45: R62         Commitments and Contingencies Commitments and       HTML     27K 
                Contingencies (Legal) (Details)                                  
15: R63         Commitments and Contingencies Commitments and       HTML     42K 
                Contingencies (Other Commitments) (Details)                      
64: R64         Stockholders' Equity (Dividends Paid) (Details)     HTML     29K 
72: R65         Stockholdes' Equity (Share Repurchases) (Details)   HTML     39K 
46: R66         Share-Based Compensation (Texuals) (Details)        HTML     48K 
16: R67         Share-Based Compensation Stock Option and Warrant   HTML     81K 
                Activity (Details)                                               
62: R68         Share-Based Compensation Outstanding Stock Options  HTML     64K 
                and Warrant Information (Details)                                
73: R69         Restricted Stock Activity (Details)                 HTML     71K 
87: R70         Earnings per Share (Details)                        HTML     48K 
59: R71         Earnings per Share (Textuals) (Details)             HTML     27K 
30: R72         Income Taxes (Details)                              HTML     31K 
41: R73         Related Party Transactions (Details)                HTML     32K 
86: R74         Net Capital and Regulatory Requirements (Details)   HTML     28K 
78: XML         IDEA XML File -- Filing Summary                      XML    162K 
14: XML         XBRL Instance -- lpla2020033110-q_htm                XML   2.02M 
50: EXCEL       IDEA Workbook of Financial Reports                  XLSX     89K 
 7: EX-101.CAL  XBRL Calculations -- lpla-20200331_cal               XML    283K 
 8: EX-101.DEF  XBRL Definitions -- lpla-20200331_def                XML   1.13M 
 9: EX-101.LAB  XBRL Labels -- lpla-20200331_lab                     XML   1.97M 
10: EX-101.PRE  XBRL Presentations -- lpla-20200331_pre              XML   1.32M 
 6: EX-101.SCH  XBRL Schema -- lpla-20200331                         XSD    195K 
66: JSON        XBRL Instance as JSON Data -- MetaLinks              412±   628K 
70: ZIP         XBRL Zipped Folder -- 0001397911-20-000100-xbrl      Zip    327K 


‘EX-32.1’   —   Certification — §906 – SOA’02


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  Exhibit  


Exhibit 32.1

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 March 31, 2020 as filed with the Securities and Exchange Commission (“SEC”) on the date hereof (the “Report”), I, Dan H. Arnold, Chief Executive 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: May 5, 2020

 
 
 
 
 
 
President and Chief Executive Officer 
 
 




Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-Q’ Filing    Date    Other Filings
Filed on:5/5/20
For Period end:3/31/204
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Filing Submission 0001397911-20-000100   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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