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LPL Financial Holdings Inc. – ‘10-Q’ for 6/30/20 – ‘EX-32.2’

On:  Tuesday, 8/4/20, at 4:04pm ET   ·   For:  6/30/20   ·   Accession #:  1397911-20-160   ·   File #:  1-34963

Previous ‘10-Q’:  ‘10-Q’ on 5/5/20 for 3/31/20   ·   Next:  ‘10-Q’ on 11/3/20 for 9/30/20   ·   Latest:  ‘10-Q’ on 10/31/23 for 9/30/23   ·   4 References:   

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

 8/04/20  LPL Financial Holdings Inc.       10-Q        6/30/20   91:10M

Quarterly Report   —   Form 10-Q
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-Q        Quarterly Report                                    HTML   1.27M 
 2: EX-31.1     Certification -- §302 - SOA'02                      HTML     31K 
 3: EX-31.2     Certification -- §302 - SOA'02                      HTML     31K 
 4: EX-32.1     Certification -- §906 - SOA'02                      HTML     27K 
 5: EX-32.2     Certification -- §906 - SOA'02                      HTML     27K 
12: R1          Document and Entity Information Document            HTML     77K 
13: R2          Condensed Consolidated Statements of Income         HTML    107K 
                (Unaudited)                                                      
14: R3          Condensed Consolidated Statements of Financial      HTML    125K 
                Condition (Unaudited)                                            
15: R4          Condensed Consolidated Statements of Financial      HTML     44K 
                Condition (Unaudited) (Parentheticals)                           
16: R5          Condensed Consolidated Statements of Stockholders'  HTML     92K 
                Equity (Unaudited)                                               
17: R6          Condensed Consolidated Statements of Cash Flows     HTML    148K 
                (Unaudited)                                                      
18: R7          Condensed Consolidated Statements of Cash Flows     HTML     36K 
                (Unaudited) cash, cash equivalent and restricted                 
                cash reconciliation                                              
19: R8          Organization and Description of the Company         HTML     31K 
20: R9          Summary of Significant Accounting Policies          HTML     56K 
21: R10         Revenue                                             HTML    144K 
22: R11         Acquisitions Acquisitions                           HTML     27K 
23: R12         Fair Value Measurements                             HTML    135K 
24: R13         Held-to-Maturity Securities                         HTML     44K 
25: R14         Goodwill and Other Intangible Assets                HTML     26K 
26: R15         Borrowings                                          HTML     94K 
27: R16         Leases                                              HTML    132K 
28: R17         Commitments and Contingencies                       HTML     38K 
29: R18         Stockholders' Equity                                HTML     38K 
30: R19         Share-Based Compensation                            HTML    113K 
31: R20         Earnings per Share                                  HTML     55K 
32: R21         Income Taxes                                        HTML     30K 
33: R22         Related Party Transactions                          HTML     30K 
34: R23         Net Capital and Regulatory Requirements             HTML     28K 
35: R24         Financial Instruments with Off-Balance-Sheet        HTML     30K 
                Credit Risk and Concentrations of Credit Risk                    
36: R25         Subsequent Events                                   HTML     27K 
37: R26         Summary of Significant Accounting Policies          HTML     51K 
                (Policies)                                                       
38: R27         Summary of Significant Accounting Policies Summary  HTML     48K 
                of Significant Accounting Policies (Tables)                      
39: R28         Revenue (Tables)                                    HTML    131K 
40: R29         Fair Value Measurements (Tables)                    HTML    126K 
41: R30         Held-to-Maturity Securities (Tables)                HTML     45K 
42: R31         Outstanding Borrowings (Tables)                     HTML     83K 
43: R32         Leases (Tables)                                     HTML     98K 
44: R33         Stockholders' Equity (Tables)                       HTML     35K 
45: R34         Share-Based Compensation (Tables)                   HTML    110K 
46: R35         Earnings per Share (Tables)                         HTML     52K 
47: R36         Organization and Description of the Company         HTML     31K 
                Consolidation, Parent Ownership Interest (Details)               
48: R37         Summary of Significant Accounting Policies          HTML     37K 
                Receivables From and Payables to Clients (Details)               
49: R38         Summary of Significant Accounting Policies          HTML     44K 
                Receivables from Advisor (Details)                               
50: R39         Summary of Significant Accounting Policies          HTML     38K 
                Receivables From Others (Details)                                
51: R40         Summary of Significant Accounting Policies Fair     HTML     32K 
                Value of Financial Instruments (Details)                         
52: R41         Revenue Commission Revenue Disaggregated by         HTML     41K 
                Product Category (Details)                                       
53: R42         Revenue Commission Revenue Disaggregated by         HTML     56K 
                Product Category and Timing of Transfer of Good or               
                Service (Details)                                                
54: R43         Revenue Asset-based Revenue disaggregated by        HTML     35K 
                Product and Service (Details)                                    
55: R44         Revenue Transaction and Fee Revenue Disaggregated   HTML     33K 
                by Timing of Transfer of Good or Service (Details)               
56: R45         Revenue Unearned Revenue Recognized (Details)       HTML     25K 
57: R46         Acquisitions (Details)                              HTML     37K 
58: R47         Fair Value Measurements Financial Assets and        HTML    101K 
                Liabilities Measured on a Recurring and                          
                Nonrecurring Basis (Details)                                     
59: R48         Held-to-Maturity Securities (Details)               HTML     33K 
60: R49         Held-to-Maturity Securities (Details 1)             HTML     50K 
61: R50         Goodwill and Other Intangible Assets Goodwill       HTML     26K 
                (Details)                                                        
62: R51         Goodwill and Other Intangible Assets Intangible     HTML     30K 
                Assets (Components) (Details)                                    
63: R52         Goodwill and Other Intangible Assets Goodwill and   HTML     27K 
                Other Intangible Assets (Details Textures)                       
64: R53         Borrowings (Credit Agreement Outstanding)           HTML     66K 
                (Details)                                                        
65: R54         Borrowings (Credit Agreement Textuals) (Details)    HTML    102K 
66: R55         Borrowings Broker-Dealer Revolving Credit Facility  HTML     40K 
                (Details)                                                        
67: R56         Borrowings Line of Credit (Bank Loans Payable       HTML     35K 
                Textuals) (Details)                                              
68: R57         Borrowings Letters of Credit (Details)              HTML     28K 
69: R58         Leases Narrative (Details)                          HTML     34K 
70: R59         Leases Components of Lease Expense (Details)        HTML     33K 
71: R60         Leases Supplemental Cash Flow Information Related   HTML     31K 
                to Leases (Details)                                              
72: R61         Leases Supplemental Weighted-Average Information    HTML     35K 
                Related to Leases (Details)                                      
73: R62         Leases Maturities of Lease Liabilities (Details)    HTML     64K 
74: R63         Commitments and Contingencies Commitments and       HTML     26K 
                Contingencies (Legal) (Details)                                  
75: R64         Commitments and Contingencies Commitments and       HTML     40K 
                Contingencies (Other Commitments) (Details)                      
76: R65         Stockholders' Equity (Dividends Paid) (Details)     HTML     30K 
77: R66         Stockholdes' Equity (Share Repurchases) (Details)   HTML     35K 
78: R67         Share-Based Compensation (Texuals) (Details)        HTML     47K 
79: R68         Share-Based Compensation Stock Option and Warrant   HTML     76K 
                Activity (Details)                                               
80: R69         Share-Based Compensation Outstanding Stock Options  HTML     63K 
                and Warrant Information (Details)                                
81: R70         Restricted Stock Activity (Details)                 HTML     68K 
82: R71         Earnings per Share (Details)                        HTML     52K 
83: R72         Earnings per Share (Textuals) (Details)             HTML     26K 
84: R73         Income Taxes (Details)                              HTML     28K 
85: R74         Related Party Transactions (Details)                HTML     31K 
86: R75         Net Capital and Regulatory Requirements (Details)   HTML     27K 
87: R76         Subsequent Events Subsequent Events (Details)       HTML     33K 
89: XML         IDEA XML File -- Filing Summary                      XML    165K 
11: XML         XBRL Instance -- lpla2020063010-q_htm                XML   2.44M 
88: EXCEL       IDEA Workbook of Financial Reports                  XLSX    107K 
 7: EX-101.CAL  XBRL Calculations -- lpla-20200630_cal               XML    283K 
 8: EX-101.DEF  XBRL Definitions -- lpla-20200630_def                XML   1.16M 
 9: EX-101.LAB  XBRL Labels -- lpla-20200630_lab                     XML   1.99M 
10: EX-101.PRE  XBRL Presentations -- lpla-20200630_pre              XML   1.34M 
 6: EX-101.SCH  XBRL Schema -- lpla-20200630                         XSD    194K 
90: JSON        XBRL Instance as JSON Data -- MetaLinks              462±   681K 
91: ZIP         XBRL Zipped Folder -- 0001397911-20-000160-xbrl      Zip    339K 


‘EX-32.2’   —   Certification — §906 – SOA’02


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



 <!   C:   C: 
  Exhibit  


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 June 30, 2020 as filed with the Securities and Exchange Commission (“SEC”) on the date hereof (the “Report”), I, Matthew J. Audette, 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: August 4, 2020

 
 
 
 
 
 
Chief Financial Officer 
 
 




Dates Referenced Herein

This ‘10-Q’ Filing    Date    Other Filings
Filed on:8/4/20None on these Dates
For Period end:6/30/20
 List all Filings 


4 Previous Filings that this Filing References

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

 5/09/14  LPL Financial Holdings Inc.       8-K:5,8,9   5/08/14    2:52K
 3/12/14  LPL Financial Holdings Inc.       8-K:5,7     3/06/14    2:118K
 6/19/12  LPL Financial Holdings Inc.       8-K:5,9     6/15/12    3:75K                                    Donnelley … Solutions/FA
 7/09/10  LPL Financial Holdings Inc.       S-1/A                  6:3.2M                                   Donnelley … Solutions/FA
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Filing Submission 0001397911-20-000160   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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