--- schema_version: "secwatch.filing_event.v1" accession: "0001397911-23-000079" form_type: "8-K" ticker: "LPLA" cik: "0001397911" company_name: "LPL Financial Holdings Inc." filed_at: "2023-05-12T23:59:59+00:00" generated_at: "2026-06-15T02:19:01.197100+00:00" event_type: "leadership" sentiment: "neutral" materiality_score: 0.25 calibrated_materiality_score: 0.25 confidence: "high" source: SEC EDGAR --- # LPL appoints CFO Audette as principal accounting officer; Simonich named CRO ## Summary - Matthew Audette (CFO & Head of Business Operations) added principal accounting officer role; Brent Simonich becomes Chief Risk Officer. - No new compensatory arrangements for Audette in connection with the appointment. - Shareholders re-elected all 10 director nominees at May 11, 2023 annual meeting. - Deloitte & Touche ratified as auditor (68.9M for, 3.4M against). - Advisory say-on-pay approved (66.3M for); future votes set to every year. ## SEC filing metadata - accession: 0001397911-23-000079 - form_type: 8-K - ticker: LPLA - cik: 0001397911 - company_name: LPL Financial Holdings Inc. - filed_at: 2023-05-12T23:59:59+00:00 - event_type: leadership - sentiment: neutral - materiality_score: 0.25 - calibrated_materiality_score: 0.25 - confidence: high - sec_items: 5.02, 5.07 - EDGAR index: https://www.sec.gov/Archives/edgar/data/1397911/000139791123000079/0001397911-23-000079-index.htm - EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1397911/000139791123000079/lpla-20230511.htm ## Machine-readable alternates - HTML: https://secwatch.observer/filing/0001397911-23-000079 - JSON: https://secwatch.observer/filing/0001397911-23-000079.json - Plain text: https://secwatch.observer/filing/0001397911-23-000079.txt ## Key facts - Executive change Matthew Audette was appointed as principal accounting officer at LPL Financial Holdings Inc.. - Action: appointed - Role: principal accounting officer source text: appointed Matthew Audette as the Company’s principal accounting officer. evidence_url: https://www.sec.gov/Archives/edgar/data/1397911/000139791123000079/0001397911-23-000079-index.htm - Executive change Brent Simonich was appointed as Chief Risk Officer at LPL Financial Holdings Inc.. - Action: appointed - Role: Chief Risk Officer source text: Brent Simonich, the Company’s previous principal accounting officer, was appointed on May 11, 2023 to serve as the Company’s Chief Risk Officer. evidence_url: https://www.sec.gov/Archives/edgar/data/1397911/000139791123000079/0001397911-23-000079-index.htm - Shareholder Votes LPL Financial Holdings Inc. shareholders approved Advisory Vote on Named Executive Officer Compensation at the 2023-05-11 meeting. - Proposal: say on pay - Outcome: passed - Meeting: 2023-05-11 source text: 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. evidence_url: https://www.sec.gov/Archives/edgar/data/1397911/000139791123000079/0001397911-23-000079-index.htm - Shareholder Votes LPL Financial Holdings Inc. shareholders approved Advisory Vote on Frequency of Future Advisory Votes on Executive Compensation at the 2023-05-11 meeting. - Proposal: say on pay frequency - Outcome: passed - Meeting: 2023-05-11 source text: 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 evidence_url: https://www.sec.gov/Archives/edgar/data/1397911/000139791123000079/0001397911-23-000079-index.htm - Shareholder Votes LPL Financial Holdings Inc. shareholders approved Ratification of the Appointment of Deloitte & Touche LLP at the 2023-05-11 meeting. - Proposal: auditor ratification - Outcome: passed - Meeting: 2023-05-11 source text: 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. evidence_url: https://www.sec.gov/Archives/edgar/data/1397911/000139791123000079/0001397911-23-000079-index.htm - Shareholder Votes LPL Financial Holdings Inc. shareholders approved Election of Directors at the 2023-05-11 meeting. - Proposal: director election - Outcome: passed - Meeting: 2023-05-11 source text: By the vote reported below, the stockholders elected the following ten nominees to serve as directors of the Company for a term to end at the 2024 annual meeting of stockholders: Nominee Votes For Votes Against Abstentions Broker Non-Votes Dan H. Arnold 67,645,543 632,874 27,137 4,008,116 Edward C. Bernard 67,892,934 382,754 29,866 4,008,116 H. Paulett Eberhart 65,482,235 2,793,713 29,606 4,008,116 William F. 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 evidence_url: https://www.sec.gov/Archives/edgar/data/1397911/000139791123000079/0001397911-23-000079-index.htm This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.