Company Description
LPL Financial Holdings Inc., together with its subsidiaries, provides an integrated platform of brokerage and investment advisory services to independent financial advisors and financial advisors at institutions in the United States.
The company’s brokerage offerings include variable and fixed annuities, mutual funds, equities, fixed income, alternative investments, retirement and 529 education savings plans, and insurance; and client cash programs consist of Federal Deposit Insurance Corporation (FDIC) insured bank sweep vehicles, and a client cash and money market account.
It also provides fee-based platforms that provide access to mutual funds, exchange traded funds, stocks, bonds, certain options strategies, unit investment trusts, institutional money managers, and no-load multi-manager variable annuities.
In addition, the company offers retirement solutions for commission and fee-based services that allow advisors to provide brokerage services, consultation, and advice to retirement plan sponsors.
Further, it provides other services comprising tools and services that enable advisors to maintain and grow their practices; trust, investment management oversight, and custodial services for estates and families; an advisor-facing trading and portfolio rebalancing platform; insurance brokerage general agency services; and technology products, such as proposal generation, investment analytics, and portfolio modeling.
The company was formerly known as LPL Investment Holdings Inc. and changed its name to LPL Financial Holdings Inc. in June 2012.
LPL Financial Holdings Inc. was founded in 1989 and is based in San Diego, California.
| Country | United States |
| Founded | 1989 |
| IPO Date | Nov 18, 2010 |
| Industry | Capital Markets |
| Sector | Financials |
| Employees | 9,000 |
| CEO | Richard Steinmeier |
Contact Details
Address: 4707 Executive Drive San Diego, California 92121 United States | |
| Phone | 800 877 7210 |
| Website | lpl.com |
Stock Details
| Ticker Symbol | LPLA |
| Exchange | NASDAQ |
| Stock Type | Common Stock |
| Fiscal Year | January - December |
| Reporting Currency | USD |
| CIK Code | 0001397911 |
| CUSIP Number | 50212V100 |
| ISIN Number | US50212V1008 |
| Employer ID | 20-3717839 |
| SIC Code | 6200 |
Key Executives
| Name | Position |
|---|---|
| Richard Steinmeier | Chief Executive Officer, MD, Chief Growth Officer and Director |
| Matthew Jon Audette B.S. | President, Chief Financial Officer and Head of Business Operations |
| Greg Gates | MD and Chief Technology and Information Officer |
| Matthew K. Enyedi | Managing Director of Client Success |
| Judith Kohoskie Ricketts | Executive Vice President of Operations |
| Marc Andrew Zabicki C.F.A. | Chief Investment Officer |
| Katharine Reeping | Senior Vice President, Controller and Chief Accounting Officer |
| Althea Brown | MD, Chief Legal Officer and Secretary |
| Sara Dadyar | MD and Chief Human Capital Officer |
| Robert Krivit | Senior Vice President and Head of Trading |
Latest SEC Filings
| Date | Type | Title |
|---|---|---|
| Mar 25, 2025 | EFFECT | Notice of Effectiveness |
| Mar 25, 2025 | ARS | Filing |
| Mar 25, 2025 | DEFA14A | Additional definitive proxy soliciting materials and Rule 14(a)(12) material |
| Mar 25, 2025 | DEF 14A | Other definitive proxy statements |
| Mar 21, 2025 | S-3/A | [Amend] Registration statement under Securities Act of 1933 |
| Mar 14, 2025 | 144 | Filing |
| Mar 6, 2025 | 8-K | Current Report |
| Mar 3, 2025 | S-3 | Registration statement under Securities Act of 1933 |
| Feb 26, 2025 | 8-K | Current Report |
| Feb 26, 2025 | 144 | Filing |