LPL Financial Holdings Inc. (LPLA)

NASDAQ: LPLA · IEX Real-Time Price · USD
+0.42 (0.19%)
Dec 4, 2023, 4:00 PM EST - Market closed

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 enterprises in the United States.

Its brokerage offerings include variable and fixed annuities, mutual funds, equities, retirement and education savings plans, fixed income, and insurance, as well as alternative investments, such as non-traded real estate investment trusts and auction rate notes.

The company also provides advisory platforms that provide access to mutual funds, exchange-traded funds, stocks, bonds, certain option strategies, unit investment trusts, and institutional money managers and no-load multi-manager variable annuities.

In addition, it offers money market products; and retirement solutions for commission-and fee-based services that allow advisors to provide brokerage services, consultation, and advice to retirement plan sponsors.

Further, the company provides other services comprising tools and services that enable advisors to maintain and grow their practices; trust, investment management oversight, and custodial services to trusts for estates and families, as well as 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.

LPL Financial Holdings Inc.
LPL Financial Holdings logo
Country United States
Founded 1989
IPO Date Nov 18, 2010
Industry Capital Markets
Sector Financials
Employees 6,900
CEO Dan Hogan Arnold Jr., B.S., CPA, M.B.A.

Contact Details

4707 Executive Drive
San Diego, California 92121
United States
Phone 800-877-7210

Stock Details

Ticker Symbol LPLA
Exchange NASDAQ
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
Dan Hogan Arnold Jr., B.S., CPA, M.B.A. President, Chief Executive Officer and Director
Matthew Jon Audette B.S. Chief Financial Officer
Richard Steinmeier MD and Divisional President of Business Development
Dayton Semerjian MD and Chief Customer Care Officer
Judith Kohoskie Ricketts Executive Vice President of Operations
Marc Andrew Zabicki C.F.A. Chief Investment Officer
Brent Blain Simonich Executive Vice President, Chief Accounting Officer and Treasurer
Greg Gates MD and Chief Technology and Information Officer
Chris Koegel Senior Vice President of Investor Relations
Michelle B. Oroschakoff Chief Legal Officer, MD of Compliance and Legal and Risk

Latest SEC Filings

Date Type Title
Nov 17, 2023 8-K Current Report
Nov 13, 2023 144 Filing
Nov 13, 2023 424B5 Filing
Nov 9, 2023 8-K Current Report
Nov 8, 2023 FWP Free Writing Prospectus
Nov 8, 2023 424B5 Filing
Nov 2, 2023 305B2 Filing
Nov 2, 2023 144 Filing
Nov 1, 2023 EFFECT Notice of Effectiveness
Oct 31, 2023 10-Q Quarterly Report