{"version":"company-facts.v1","source":"https://secwatch.observer","generated_at":"2026-07-11T18:29:24.314322+00:00","company":{"ticker":"LPLA","cik":1397911,"company_name":"LPL Financial Holdings Inc."},"pagination":{"limit":100,"returned":46,"next_cursor":null},"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer","counterparties":{"contract_counterparty":[{"display_name":"U.S. Bank Trust Company, National Association","detail":"notes_offering","count":1,"first_seen":"2023-11-17T23:59:59+00:00","last_seen":"2023-11-17T23:59:59+00:00","evidence_fact_ids":[92269]}],"lender":[{"display_name":"U.S. Bank Trust Company, National Association","detail":"senior_notes","count":5,"first_seen":"2023-11-17T23:59:59+00:00","last_seen":"2025-04-03T23:59:59+00:00","evidence_fact_ids":[92271,116105,141324,141325,141326]}]},"facts":[{"fact_type":"shareholder_vote","fact_key":"fcc6873b5ffed6d8ca9d9bcc05fe045b31b32e58","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2026-05-15T20:11:20+00:00","payload":{"item_codes_triggered":["5.07"],"meeting_date":"2026-05-14","outcome":"passed","proposal_text":"Adoption of Charter Amendment to Remove the Corporate Opportunities Provision","proposal_type":"charter_amendment","results":[{"broker_non_votes":"3,118,380","subject":null,"votes_abstain":"23,415","votes_against":"102,896","votes_for":"73,656,924","votes_withheld":null}]},"claim":"LPL Financial Holdings Inc. shareholders approved Adoption of Charter Amendment to Remove the Corporate Opportunities Provision at the 2026-05-14 meeting.","evidence_excerpt":"Adoption of Charter Amendment to Remove the Corporate Opportunities Provision . The stockholders approved the adoption of amendments to the Charter to remove the corporate opportunities provision of the Charter. 73,656,924 shares voted for the proposal; 102,896 shares voted against the proposal; and 23,415 shares abstained from voting on the proposal. There were 3,118,380 broker non-votes on the proposal.","confidence":0.99,"filing_url":"https://secwatch.observer/filing/0001628280-26-035566","anchor_url":"https://secwatch.observer/filing/0001628280-26-035566#claim-fcc6873b5ffed6d8ca9d9bcc05fe045b31b32e58","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000162828026035566/0001628280-26-035566-index.htm"},{"fact_type":"shareholder_vote","fact_key":"9bf788e810021760bf1632d89386e0fa7b9cbdbe","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2026-05-15T20:11:20+00:00","payload":{"item_codes_triggered":["5.07"],"meeting_date":"2026-05-14","outcome":"passed","proposal_text":"Adoption of Charter Amendment to Provide for Officer Exculpation","proposal_type":"charter_amendment","results":[{"broker_non_votes":"3,118,380","subject":null,"votes_abstain":"36,104","votes_against":"12,880,740","votes_for":"60,866,391","votes_withheld":null}]},"claim":"LPL Financial Holdings Inc. shareholders approved Adoption of Charter Amendment to Provide for Officer Exculpation at the 2026-05-14 meeting.","evidence_excerpt":"Adoption of Charter Amendment to Provide for Officer Exculpation . The stockholders approved the adoption of amendments to the Charter to provide for officer exculpation to the fullest extent permitted by Delaware law. 60,866,391 shares voted for the proposal; 12,880,740 shares voted against the proposal; and 36,104 shares abstained from voting on the proposal. There were 3,118,380 broker non-votes on the proposal.","confidence":0.99,"filing_url":"https://secwatch.observer/filing/0001628280-26-035566","anchor_url":"https://secwatch.observer/filing/0001628280-26-035566#claim-9bf788e810021760bf1632d89386e0fa7b9cbdbe","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000162828026035566/0001628280-26-035566-index.htm"},{"fact_type":"shareholder_vote","fact_key":"b22337c464833a85b822076af65e2209a26d6964","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2026-05-15T20:11:20+00:00","payload":{"item_codes_triggered":["5.07"],"meeting_date":"2026-05-14","outcome":"passed","proposal_text":"Adoption of Charter Amendment to Remove Supermajority Voting Requirements","proposal_type":"charter_amendment","results":[{"broker_non_votes":"3,118,380","subject":null,"votes_abstain":"12,230","votes_against":"111,047","votes_for":"73,659,958","votes_withheld":null}]},"claim":"LPL Financial Holdings Inc. shareholders approved Adoption of Charter Amendment to Remove Supermajority Voting Requirements at the 2026-05-14 meeting.","evidence_excerpt":"Adoption of Charter Amendment to Remove Supermajority Voting Requirements . The stockholders approved the adoption of an amendment and restatement of the Company’s Amended and Restated Certificate of Incorporation (the “Charter”) to eliminate supermajority voting requirements, eliminate obsolete provisions and make certain non-substantive changes. 73,659,958 shares voted for the proposal; 111,047 shares voted against the proposal; and 12,230 shares abstained from voting on the proposal. There were 3,118,380 broker non-votes on the proposal.","confidence":0.99,"filing_url":"https://secwatch.observer/filing/0001628280-26-035566","anchor_url":"https://secwatch.observer/filing/0001628280-26-035566#claim-b22337c464833a85b822076af65e2209a26d6964","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000162828026035566/0001628280-26-035566-index.htm"},{"fact_type":"shareholder_vote","fact_key":"c6f732370f639fc83aadcee59949a8ceb8066418","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2026-05-15T20:11:20+00:00","payload":{"item_codes_triggered":["5.07"],"meeting_date":"2026-05-14","outcome":"passed","proposal_text":"Advisory Vote on Named Executive Officer Compensation","proposal_type":"say_on_pay","results":[{"broker_non_votes":"3,118,380","subject":null,"votes_abstain":"42,247","votes_against":"1,117,499","votes_for":"72,623,489","votes_withheld":null}]},"claim":"LPL Financial Holdings Inc. shareholders approved Advisory Vote on Named Executive Officer Compensation at the 2026-05-14 meeting.","evidence_excerpt":"Advisory Vote on Named Executive Officer Compensation . The stockholders approved, on an advisory, non-binding basis, the compensation paid to the named executive officers of the Company, as disclosed in the Company’s definitive proxy statement on Schedule 14A filed with the SEC on April 2, 2026 relating to the Annual Meeting. 72,623,489 shares voted for the proposal; 1,117,499 shares voted against the proposal; and 42,247 shares abstained from voting on the proposal. There were 3,118,380 broker non-votes on the proposal.","confidence":0.99,"filing_url":"https://secwatch.observer/filing/0001628280-26-035566","anchor_url":"https://secwatch.observer/filing/0001628280-26-035566#claim-c6f732370f639fc83aadcee59949a8ceb8066418","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000162828026035566/0001628280-26-035566-index.htm"},{"fact_type":"shareholder_vote","fact_key":"0da35e736d28e951c2f159c1733a87ce55d3c448","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2026-05-15T20:11:20+00:00","payload":{"item_codes_triggered":["5.07"],"meeting_date":"2026-05-14","outcome":"passed","proposal_text":"Ratification of the Appointment of Deloitte & Touche LLP","proposal_type":"auditor_ratification","results":[{"broker_non_votes":null,"subject":null,"votes_abstain":"10,704","votes_against":"2,709,657","votes_for":"74,181,254","votes_withheld":null}]},"claim":"LPL Financial Holdings Inc. shareholders approved Ratification of the Appointment of Deloitte & Touche LLP at the 2026-05-14 meeting.","evidence_excerpt":"Ratification of the Appointment of Deloitte & Touche LLP . The stockholders ratified the appointment of Deloitte & Touche LLP by the audit and risk committee of the Board as the Company’s independent registered public accounting firm for the current fiscal year. 74,181,254 shares voted for the proposal; 2,709,657 shares voted against the proposal; and 10,704 shares abstained from voting on the proposal. There were no broker non-votes on the proposal.","confidence":0.99,"filing_url":"https://secwatch.observer/filing/0001628280-26-035566","anchor_url":"https://secwatch.observer/filing/0001628280-26-035566#claim-0da35e736d28e951c2f159c1733a87ce55d3c448","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000162828026035566/0001628280-26-035566-index.htm"},{"fact_type":"shareholder_vote","fact_key":"6d7c11c6e47a3a7d156775227bbcdb10a7dab43a","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2026-05-15T20:11:20+00:00","payload":{"item_codes_triggered":["5.07"],"meeting_date":"2026-05-14","outcome":"passed","proposal_text":"Election of Directors","proposal_type":"director_election","results":[{"broker_non_votes":"3,118,380","subject":"Edward C. Bernard","votes_abstain":"22,636","votes_against":"187,838","votes_for":"73,572,761","votes_withheld":null},{"broker_non_votes":"3,118,380","subject":"H. Paulett Eberhart","votes_abstain":"17,562","votes_against":"2,904,700","votes_for":"70,860,973","votes_withheld":null},{"broker_non_votes":"3,118,380","subject":"William F. Gavin Jr.","votes_abstain":"152,122","votes_against":"1,130,779","votes_for":"72,500,334","votes_withheld":null},{"broker_non_votes":"3,118,380","subject":"Somesh Khanna","votes_abstain":"162,800","votes_against":"228,822","votes_for":"73,391,613","votes_withheld":null},{"broker_non_votes":"3,118,380","subject":"Albert J. Ko","votes_abstain":"24,424","votes_against":"139,076","votes_for":"73,619,735","votes_withheld":null},{"broker_non_votes":"3,118,380","subject":"Allison H. Mnookin","votes_abstain":"24,943","votes_against":"1,149,179","votes_for":"72,609,113","votes_withheld":null},{"broker_non_votes":"3,118,380","subject":"Anne M. Mulcahy","votes_abstain":"22,343","votes_against":"4,559,791","votes_for":"69,201,101","votes_withheld":null},{"broker_non_votes":"3,118,380","subject":"James S. Putnam","votes_abstain":"11,123","votes_against":"1,792,023","votes_for":"71,980,089","votes_withheld":null},{"broker_non_votes":"3,118,380","subject":"Richard P. Schifter","votes_abstain":"25,062","votes_against":"2,058,128","votes_for":"71,700,045","votes_withheld":null},{"broker_non_votes":"3,118,380","subject":"Richard Steinmeier","votes_abstain":"13,934","votes_against":"378,840","votes_for":"73,390,461","votes_withheld":null},{"broker_non_votes":"3,118,380","subject":"Corey E. Thomas","votes_abstain":"151,822","votes_against":"913,565","votes_for":"72,717,848","votes_withheld":null}]},"claim":"LPL Financial Holdings Inc. shareholders approved Election of Directors at the 2026-05-14 meeting.","evidence_excerpt":"Election of Directors. By the vote reported below, the stockholders elected the following eleven nominees to serve as directors of the Company for a term to end at the 2027 annual meeting of stockholders:","confidence":0.98,"filing_url":"https://secwatch.observer/filing/0001628280-26-035566","anchor_url":"https://secwatch.observer/filing/0001628280-26-035566#claim-6d7c11c6e47a3a7d156775227bbcdb10a7dab43a","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000162828026035566/0001628280-26-035566-index.htm"},{"fact_type":"governance_change","fact_key":"872a06faa23b9c56330fde69777ce227d93e6dd8","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2026-05-15T20:11:20+00:00","payload":{"change_type":"charter_amendment","effective_date":"2026-05-14","item_codes_triggered":["5.03"],"summary_text":"Stockholders approved amendments to the Charter to remove the corporate opportunities provision."},"claim":"LPL Financial Holdings Inc.: Stockholders approved amendments to the Charter to remove the corporate opportunities provision (effective 2026-05-14).","evidence_excerpt":"The stockholders approved the adoption of amendments to the Charter to remove the corporate opportunities provision of the Charter.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001628280-26-035566","anchor_url":"https://secwatch.observer/filing/0001628280-26-035566#claim-872a06faa23b9c56330fde69777ce227d93e6dd8","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000162828026035566/0001628280-26-035566-index.htm"},{"fact_type":"governance_change","fact_key":"9aca7e6c727ec3d939544baf9458e7864e44ded7","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2026-05-15T20:11:20+00:00","payload":{"change_type":"charter_amendment","effective_date":"2026-05-14","item_codes_triggered":["5.03"],"summary_text":"Stockholders approved amendments to the Charter to provide for officer exculpation to the fullest extent 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changes.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001628280-26-035566","anchor_url":"https://secwatch.observer/filing/0001628280-26-035566#claim-078c86308afd0c590acbdb48b83214f76eb5879d","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000162828026035566/0001628280-26-035566-index.htm"},{"fact_type":"governance_change","fact_key":"605269b7f597b60845718c38ea654fc8679ec411","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2026-05-15T20:11:20+00:00","payload":{"change_type":"bylaw_amendment","effective_date":"2026-05-14","item_codes_triggered":["5.03"],"summary_text":"The Board amended and restated the Seventh Amended and Restated Bylaws to adopt the Eighth Amended and Restated Bylaws, effective May 14, 2026, aligning with Delaware law, clarifying meeting postponement authority, codifying director qualification procedures, revising stockholder proposal requiremen"},"claim":"LPL Financial Holdings Inc.: The Board amended and restated the Seventh Amended and Restated Bylaws to adopt the Eighth Amended and Restated Bylaws, effective May 14, 2026, aligning with Delaware law, clarifying meeting postponement authority, codifying director qualification procedures, revising stockholder proposal requiremen (effective 2026-05-14).","evidence_excerpt":"On May 14, 2026, the Board of Directors (the “Board”) of LPL Financial Holdings Inc. (the “Company”) amended and restated the Company’s Seventh Amended and Restated Bylaws (as so amended and restated, the “Eighth Amended and Restated Bylaws”). The Eighth Amended and Restated Bylaws are effective as of May 14, 2026.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001628280-26-035566","anchor_url":"https://secwatch.observer/filing/0001628280-26-035566#claim-605269b7f597b60845718c38ea654fc8679ec411","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000162828026035566/0001628280-26-035566-index.htm"},{"fact_type":"earnings_release","fact_key":"b0a0f67c9c99cc3d982cd21f1f3b1d1561903204","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2026-04-30T23:59:59+00:00","payload":{"eps_text":"$4.43","guidance_signal":"lowered","item_codes_triggered":["2.02"],"net_income_text":"$356 million","period_text":"the three months ended March 31, 2026","report_date":"2026-04-30","result_type":"reported_results","revenue_text":null},"claim":"LPL Financial Holdings Inc. reported the three months ended March 31, 2026 results: net income $356 million, EPS $4.43. Guidance lowered.","evidence_excerpt":"LPL Financial Announces First Quarter 2026 Results Key Financial Results • Net income was $356 million, translating to diluted earnings per share (\"EPS\") of $4.43, up 4% from a year ago","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001628280-26-028890","anchor_url":"https://secwatch.observer/filing/0001628280-26-028890#claim-b0a0f67c9c99cc3d982cd21f1f3b1d1561903204","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000162828026028890/0001628280-26-028890-index.htm"},{"fact_type":"executive_change","fact_key":"a5125d2338","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2025-06-03T23:59:59+00:00","payload":{"action":"resigned","action_category":"departure","departure_tone":"routine","effective_date":"2025-06-30","interim":false,"role":"Chief Legal Officer and Corporate Secretary","role_category":"general_counsel","successor_name":null,"successor_named":false},"claim":"Althea Brown resigned as Chief Legal Officer and Corporate Secretary at LPL Financial Holdings Inc..","evidence_excerpt":"Althea Brown submitted her resignation as the Chief Legal Officer and Corporate Secretary of LPL Financial Holdings Inc. (the “Company”) effective June 30, 2025, when she will depart the Company.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001193125-25-134140","anchor_url":"https://secwatch.observer/filing/0001193125-25-134140#claim-a5125d2338","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000119312525134140/0001193125-25-134140-index.htm"},{"fact_type":"debt_financing","fact_key":"302a894d3a2407032dbd0234685cb6854fb7fbc6","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2025-04-03T23:59:59+00:00","payload":{"counterparty":"U.S. Bank Trust Company, National Association","effective_date":"2025-04-03","event":"incurrence","instrument_type":"senior_notes","interest_rate_text":"4.900% per year for 2028 Notes, 5.150% per year for 2030 Notes, 5.750% per year","item_codes_triggered":["2.03"],"maturity_text":"April 3, 2028 for 2028 Notes, June 15, 2030 for 2030 Notes, June 15, 2035 for 2035 Notes","principal_text":"$500,000,000 aggregate principal amount of 4.900% Senior Notes due 2028, $500,000,000 aggregate principal amount of 5.15"},"claim":"LPL Financial Holdings Inc. incurred senior notes of $500,000,000 aggregate principal amount of 4.900% Senior Notes due 2028, $500,000,000 aggregate principal amount of 5.15 with U.S. Bank Trust Company, National Association at 4.900% per year for 2028 Notes, 5.150% per year for 2030 Notes, 5.750% per year maturing April 3, 2028 for 2028 Notes, June 15, 2030 for 2030 Notes, June 15, 2035 for 2035 Notes.","evidence_excerpt":"On April 3, 2025, LPL Holdings, Inc. (the “Company”), a wholly-owned subsidiary of LPL Financial Holdings Inc. (the “Guarantor”), completed the issuance and sale of $500,000,000 aggregate principal amount of 4.900% Senior Notes due 2028 (the “2028 Notes”), $500,000,000 aggregate principal amount of 5.150% Senior Notes due 2030 (the “2030 Notes”) and $500,000,000 aggregate principal amount of 5.750% Senior Notes due 2035 (the “2035 Notes” and, together with the 2028 Notes and the 2030 Notes, the “Senior Notes”).","confidence":0.99,"filing_url":"https://secwatch.observer/filing/0001193125-25-072396","anchor_url":"https://secwatch.observer/filing/0001193125-25-072396#claim-302a894d3a2407032dbd0234685cb6854fb7fbc6","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000119312525072396/0001193125-25-072396-index.htm"},{"fact_type":"executive_change","fact_key":"1e65c8f978","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2025-03-06T23:59:59+00:00","payload":{"action":"appointed","action_category":"appointment","departure_tone":"not_applicable","effective_date":"2025-02-28","interim":false,"role":"Chief Accounting Officer","role_category":"other_named_officer","successor_name":null,"successor_named":false},"claim":"Katharine Reeping was appointed as Chief Accounting Officer at LPL Financial Holdings Inc..","evidence_excerpt":"On February 28, 2025, the board of directors (the “Board”) of LPL Financial Holdings Inc. 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(the “Company”) appointed Rich Steinmeier, 50, as the Company’s Chief Executive Officer","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001193125-24-240432","anchor_url":"https://secwatch.observer/filing/0001193125-24-240432#claim-e68709f631","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000119312524240432/0001193125-24-240432-index.htm"},{"fact_type":"executive_change","fact_key":"69ef549024","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2024-10-01T23:59:59+00:00","payload":{"action":"appointed","action_category":"role_change","departure_tone":"not_applicable","effective_date":"2024-10-01","interim":true,"role":"Interim Chief Executive Officer","role_category":"ceo","successor_name":null,"successor_named":false},"claim":"Rich Steinmeier was appointed as Interim Chief Executive Officer at LPL Financial Holdings Inc..","evidence_excerpt":"The Company also announced that Rich Steinmeier, currently the Managing Director, Chief Growth Officer of LPL Financial LLC, a subsidiary of the Company (“LPL Financial”), has been appointed as the Company’s Interim Chief Executive Officer, effective immediately.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001193125-24-230215","anchor_url":"https://secwatch.observer/filing/0001193125-24-230215#claim-69ef549024","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000119312524230215/0001193125-24-230215-index.htm"},{"fact_type":"executive_change","fact_key":"0acad60c14","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2024-10-01T23:59:59+00:00","payload":{"action":"resigned","action_category":"departure","departure_tone":"for_cause_or_dispute","effective_date":"2024-10-01","interim":false,"role":"Director","role_category":"director","successor_name":null,"successor_named":false},"claim":"Dan H. Arnold resigned as Director at LPL Financial Holdings Inc..","evidence_excerpt":"Additionally, on October 1, 2024, the Board accepted Mr. Arnold’s resignation from the Board.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001193125-24-230215","anchor_url":"https://secwatch.observer/filing/0001193125-24-230215#claim-0acad60c14","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000119312524230215/0001193125-24-230215-index.htm"},{"fact_type":"executive_change","fact_key":"3a33a13ed7","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2024-10-01T23:59:59+00:00","payload":{"action":"terminated","action_category":"departure","departure_tone":"for_cause_or_dispute","effective_date":"2024-10-01","interim":true,"role":"President and Chief Executive Officer","role_category":"ceo","successor_name":"Rich Steinmeier","successor_named":true},"claim":"Dan H. Arnold was terminated as President and Chief Executive Officer at LPL Financial Holdings Inc..","evidence_excerpt":"On October 1, 2024, the Board of Directors (the “Board”) of LPL Financial Holdings Inc. (the “Company”) terminated Dan H. 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Advisory Vote on Named Executive Officer Compensation . 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Ratification of the Appointment of Deloitte & Touche LLP . 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(the “Company”), a wholly-owned subsidiary of LPL Financial Holdings Inc. (the “Guarantor”), completed the issuance and sale of $750 million aggregate principal amount of 6.750% Senior Notes due 2028 (the “Senior Notes”). The Senior Notes were issued pursuant to an Indenture, dated November 17, 2023, among the Company, the Guarantor and U.S. Bank Trust Company, National Association, as trustee (the “Base Indenture”), as supplemented by the First Supplemental Indenture, dated November 17, 2023 (the “First Supplemental Indenture” and, together with the Base Indenture, the “Indenture”).","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001193125-23-279796","anchor_url":"https://secwatch.observer/filing/0001193125-23-279796#claim-ce290647afeffb77de42b252f5b2ac6b40b4b3c9","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000119312523279796/0001193125-23-279796-index.htm"},{"fact_type":"earnings_release","fact_key":"9df9b2f0f32ac2d8343707353f806cb8d0d11f51","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2023-10-26T23:59:59+00:00","payload":{"eps_text":"$2.91","guidance_signal":"none","item_codes_triggered":["2.02"],"net_income_text":"$224 million","period_text":"the three months ended September 30, 2023","report_date":"2023-10-26","result_type":"reported_results","revenue_text":null},"claim":"LPL Financial Holdings Inc. reported the three months ended September 30, 2023 results: net income $224 million, EPS $2.91.","evidence_excerpt":"On October 26, 2023, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three months ended September 30, 2023.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001397911-23-000156","anchor_url":"https://secwatch.observer/filing/0001397911-23-000156#claim-9df9b2f0f32ac2d8343707353f806cb8d0d11f51","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000139791123000156/0001397911-23-000156-index.htm"},{"fact_type":"shareholder_vote","fact_key":"d997f621771945ca2097abc9612430bc21130d22","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2023-05-12T23:59:59+00:00","payload":{"item_codes_triggered":["5.07"],"meeting_date":"2023-05-11","outcome":"passed","proposal_text":"Advisory Vote on Frequency of Future Advisory Votes on Executive Compensation","proposal_type":"say_on_pay_frequency","results":[{"broker_non_votes":"4,008,116","subject":"Every 1 Year","votes_abstain":"26,940","votes_against":null,"votes_for":"67,504,645","votes_withheld":null}]},"claim":"LPL Financial Holdings Inc. shareholders approved Advisory Vote on Frequency of Future Advisory Votes on Executive Compensation at the 2023-05-11 meeting.","evidence_excerpt":"By the vote reported below, the stockholders approved, on an advisory, non-binding basis, that the frequency of future advisory votes on the compensation paid to the named executive officers of the Company be every year. 1 Year 2 Years 3 Years Abstentions Broker Non-Votes 67,504,645 55,287 718,682 26,940 4,008,116","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001397911-23-000079","anchor_url":"https://secwatch.observer/filing/0001397911-23-000079#claim-d997f621771945ca2097abc9612430bc21130d22","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000139791123000079/0001397911-23-000079-index.htm"},{"fact_type":"shareholder_vote","fact_key":"ba32777d906363fba3dd06afffa0b4c473a9cb59","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2023-05-12T23:59:59+00:00","payload":{"item_codes_triggered":["5.07"],"meeting_date":"2023-05-11","outcome":"passed","proposal_text":"Advisory Vote on Named Executive Officer Compensation","proposal_type":"say_on_pay","results":[{"broker_non_votes":"4,008,116","subject":null,"votes_abstain":"63,072","votes_against":"1,949,741","votes_for":"66,292,741","votes_withheld":null}]},"claim":"LPL Financial Holdings Inc. shareholders approved Advisory Vote on Named Executive Officer Compensation at the 2023-05-11 meeting.","evidence_excerpt":"The stockholders approved, on an advisory, non-binding basis, the compensation paid to the named executive officers of the Company, as disclosed in the Company’s definitive proxy statement on Schedule 14A filed with the SEC on March 30, 2023 relating to the Annual Meeting. 66,292,741 shares voted for the proposal; 1,949,741 shares voted against the proposal; and 63,072 shares abstained from voting on the proposal. There were 4,008,116 broker non-votes on the proposal.","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001397911-23-000079","anchor_url":"https://secwatch.observer/filing/0001397911-23-000079#claim-ba32777d906363fba3dd06afffa0b4c473a9cb59","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000139791123000079/0001397911-23-000079-index.htm"},{"fact_type":"shareholder_vote","fact_key":"dfae305368ce1c4dee4fce2930a5d0b208de8aa8","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2023-05-12T23:59:59+00:00","payload":{"item_codes_triggered":["5.07"],"meeting_date":"2023-05-11","outcome":"passed","proposal_text":"Ratification of the Appointment of Deloitte & Touche LLP","proposal_type":"auditor_ratification","results":[{"broker_non_votes":"0","subject":null,"votes_abstain":"22,778","votes_against":"3,358,209","votes_for":"68,932,683","votes_withheld":null}]},"claim":"LPL Financial Holdings Inc. shareholders approved Ratification of the Appointment of Deloitte & Touche LLP at the 2023-05-11 meeting.","evidence_excerpt":"The stockholders ratified the appointment of Deloitte & Touche LLP by the audit and risk committee of the Board as the Company’s independent registered public accounting firm for the current fiscal year. 68,932,683 shares voted for the proposal; 3,358,209 shares voted against the proposal; and 22,778 shares abstained from voting on the proposal. There were no broker non-votes on the proposal.","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001397911-23-000079","anchor_url":"https://secwatch.observer/filing/0001397911-23-000079#claim-dfae305368ce1c4dee4fce2930a5d0b208de8aa8","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000139791123000079/0001397911-23-000079-index.htm"},{"fact_type":"shareholder_vote","fact_key":"e30f2d62cdc8575977fa059e40cc7fc91c96713f","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2023-05-12T23:59:59+00:00","payload":{"item_codes_triggered":["5.07"],"meeting_date":"2023-05-11","outcome":"passed","proposal_text":"Election of Directors","proposal_type":"director_election","results":[{"broker_non_votes":"4,008,116","subject":"Dan H. Arnold","votes_abstain":"27,137","votes_against":"632,874","votes_for":"67,645,543","votes_withheld":null},{"broker_non_votes":"4,008,116","subject":"Edward C. 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Glavin, Jr. 67,042,673 1,233,077 29,804 4,008,116 Albert J. Ko 68,133,828 98,655 73,071 4,008,116 Allison H. Mnookin 66,780,820 1,497,396 27,338 4,008,116 Anne M. Mulcahy 66,816,303 1,462,021 27,230 4,008,116 James S. Putnam 65,094,517 3,185,199 25,838 4,008,116 Richard P. Schifter 65,235,528 3,040,110 29,916 4,008,116 Corey E. Thomas 66,942,338 1,331,482 31,734 4,008,116","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001397911-23-000079","anchor_url":"https://secwatch.observer/filing/0001397911-23-000079#claim-e30f2d62cdc8575977fa059e40cc7fc91c96713f","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000139791123000079/0001397911-23-000079-index.htm"},{"fact_type":"executive_change","fact_key":"ef18ec608c","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2023-05-12T23:59:59+00:00","payload":{"action":"appointed","action_category":"role_change","departure_tone":"routine","effective_date":"2023-05-11","interim":false,"role":"Chief Risk Officer","role_category":"other_named_officer","successor_name":"Matthew Audette","successor_named":true},"claim":"Brent Simonich was appointed as Chief Risk Officer at LPL Financial Holdings Inc..","evidence_excerpt":"Brent Simonich, the Company’s previous principal accounting officer, was appointed on May 11, 2023 to serve as the Company’s Chief Risk Officer.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001397911-23-000079","anchor_url":"https://secwatch.observer/filing/0001397911-23-000079#claim-ef18ec608c","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000139791123000079/0001397911-23-000079-index.htm"},{"fact_type":"executive_change","fact_key":"aa0fd159bd","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2023-05-12T23:59:59+00:00","payload":{"action":"appointed","action_category":"appointment","departure_tone":"not_applicable","effective_date":"2023-05-11","interim":false,"role":"principal accounting officer","role_category":"other_named_officer","successor_name":null,"successor_named":false},"claim":"Matthew Audette was appointed as principal accounting officer at LPL Financial Holdings Inc..","evidence_excerpt":"appointed Matthew Audette as the Company’s principal accounting officer.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001397911-23-000079","anchor_url":"https://secwatch.observer/filing/0001397911-23-000079#claim-aa0fd159bd","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000139791123000079/0001397911-23-000079-index.htm"},{"fact_type":"earnings_release","fact_key":"8899a78c4a9e4838d8fe6d774c1eb8a8017d65d1","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2023-04-27T23:59:59+00:00","payload":{"eps_text":"$4.24","guidance_signal":"none","item_codes_triggered":["2.02"],"net_income_text":"$339 million","period_text":"three months ended March 31, 2023","report_date":"2023-04-27","result_type":"reported_results","revenue_text":null},"claim":"LPL Financial Holdings Inc. reported three months ended March 31, 2023 results: net income $339 million, EPS $4.24.","evidence_excerpt":"On April 27, 2023, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three months ended March 31, 2023.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001397911-23-000066","anchor_url":"https://secwatch.observer/filing/0001397911-23-000066#claim-8899a78c4a9e4838d8fe6d774c1eb8a8017d65d1","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000139791123000066/0001397911-23-000066-index.htm"},{"fact_type":"executive_change","fact_key":"27eb3e9fb0","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2023-02-16T23:59:59+00:00","payload":{"action":"depart","action_category":"departure","departure_tone":"routine","effective_date":"2023-03-31","interim":false,"role":"chief customer care officer","role_category":"other_named_officer","successor_name":null,"successor_named":false},"claim":"Dayton Semerjian departed as chief customer care officer at LPL Financial Holdings Inc..","evidence_excerpt":"Dayton Semerjian will depart the Company effective March 31, 2023.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001193125-23-041083","anchor_url":"https://secwatch.observer/filing/0001193125-23-041083#claim-27eb3e9fb0","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000119312523041083/0001193125-23-041083-index.htm"},{"fact_type":"earnings_release","fact_key":"d5639930b27592147b83fcd9270c3c3479288b93","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2023-02-02T23:59:59+00:00","payload":{"eps_text":"$10.40","guidance_signal":"none","item_codes_triggered":["2.02"],"net_income_text":"$846 million","period_text":"the twelve months ended December 31, 2022","report_date":"2023-02-02","result_type":"reported_results","revenue_text":null},"claim":"LPL Financial Holdings Inc. reported the twelve months ended December 31, 2022 results: net income $846 million, EPS $10.40.","evidence_excerpt":"Net Income was $846 million, translating to diluted EPS of $10.40","confidence":1.0,"filing_url":"https://secwatch.observer/filing/0001397911-23-000010","anchor_url":"https://secwatch.observer/filing/0001397911-23-000010#claim-d5639930b27592147b83fcd9270c3c3479288b93","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000139791123000010/0001397911-23-000010-index.htm"},{"fact_type":"earnings_release","fact_key":"318d6978c6ec2cc0425ac39daaa385c0b369828a","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2023-02-02T23:59:59+00:00","payload":{"eps_text":"$3.95","guidance_signal":"none","item_codes_triggered":["2.02"],"net_income_text":"$319 million","period_text":"the three months ended December 31, 2022","report_date":"2023-02-02","result_type":"reported_results","revenue_text":null},"claim":"LPL Financial Holdings Inc. reported the three months ended December 31, 2022 results: net income $319 million, EPS $3.95.","evidence_excerpt":"Net Income was $319 million, translating to diluted earnings per share (\"EPS\") of $3.95","confidence":1.0,"filing_url":"https://secwatch.observer/filing/0001397911-23-000010","anchor_url":"https://secwatch.observer/filing/0001397911-23-000010#claim-318d6978c6ec2cc0425ac39daaa385c0b369828a","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1397911/000139791123000010/0001397911-23-000010-index.htm"},{"fact_type":"executive_change","fact_key":"3695d807f2","cik":1397911,"ticker":"LPLA","company_name":"LPL Financial Holdings Inc.","filed_at":"2023-01-11T23:59:59+00:00","payload":{"action":"elected","action_category":"appointment","departure_tone":"not_applicable","effective_date":"2023-01-09","interim":false,"role":"director","role_category":"director","successor_name":null,"successor_named":false},"claim":"Albert J. 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