LPLA / LPL Financial Holdings Inc. - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

List of Subsidiary Guarantors and Issuers of Guaranteed Securities.*

Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of June 30, 2025, LPL Financial Holdings Inc., a Delaware corporation, has fully and unconditionally guaranteed the 5.700% Senior Notes due 2027, the 4.900% and 6.750% Senior Notes due 2028, the 5.150% and 5.200% Senior Notes due 2030, the 6.000% Senior Notes due 2034 and the 5.650% and 5.750% Senior Notes due 2035

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Financ

LPL Financial LLC Executive Severance Plan, amended and restated as of May 9, 2025

Exhibit 10.2 LPL FINANCIAL LLC EXECUTIVE SEVERANCE PLAN Amended and Restated as of May 9, 2025 Introduction The purpose of this Plan is to enable the Company and its Affiliates to offer certain protections to senior executives in a position designated as Management Level 13 or 14 in the event their employment with the Company or an Affiliate terminates. Accordingly, the Board has adopted the Plan

LPL Financial Holdings Inc. Non-Employee Director Compensation Policy, as amended May 22, 2025

Exhibit 10.1 LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy Annual Retainer •All non-employee directors receive an annual retainer of $310,000, which is paid in advance on the next business day following the Company’s annual meeting of stockholders (the “Annual Payment Date”). Of this amount, $105,000 is paid in a lump sum in cash and $205,000 is paid in the form of restrict

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2025 LPL Financial Hold

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2025 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commiss

LPL FINANCIAL CLOSES ITS ACQUISITION OF COMMONWEALTH FINANCIAL NETWORK

EX-99.1 Exhibit 99.1 LPL FINANCIAL CLOSES ITS ACQUISITION OF COMMONWEALTH FINANCIAL NETWORK SAN DIEGO – Aug. 1, 2025 – LPL Financial Holdings Inc. (NASDAQ: LPLA), together with its subsidiaries, including LPL Financial LLC, announced the closing of its acquisition of Commonwealth Financial Network (“Commonwealth”), a wealth management firm supporting approximately 3,000* advisors managing $305 bil

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2025 LPL Financial Holdi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2025 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commissi

LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended June 30, March 31, June 30, 2025 2025 Change 2024 Change REVENUE Advisory $ 1,717,738 $ 1,689,245 2 %

For Immediate Release LPL Financial Announces Second Quarter 2025 Results Key Financial Results: •Net Income was $273 million, translating to diluted earnings per share ("EPS") of $3.

Consulting Agreement, dated July 2, 2025, between Althea Brown and LPL Financial LLC

Exhibit 10.1 CONSULTING AGREEMENT This CONSULTING AGREEMENT (“Consulting Agreement”) is made and entered into as of July 2, 2025 (“Effective Date”), by and between Althea Brown, an individual, with an address at [* * *] (“Consultant”) and LPL Financial LLC (“LPL”), with a place of business at 4707 Executive Drive, San Diego, CA 92121. BACKGROUND WHEREAS, prior to June 30, 2025, Consultant served a

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 2, 2025 LPL Financial Holdings Inc.

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2025 LPL Financial Holdings Inc.

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2025 LPL Financial Holdings Inc.

List of Subsidiary Guarantors and Issuers of Guaranteed Securities.*

Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of May 9, 2025, LPL Financial Holdings Inc., a Delaware corporation, has fully and unconditionally guaranteed the 5.700% Senior Notes due 2027, the 4.900% and 6.750% Senior Notes due 2028, the 5.150% and 5.200% Senior Notes due 2030, the 6.000% Senior Notes due 2034 and the 5.650% and 5.750% Senior Notes due 2035 is

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Finan

Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan, as amended February 10, 2025.*

Name: [●] Target Number of PSUs: [●] Date of Grant: [●] EMPLOYEE Performance STOCK UNIT AWARD granted under the LPL Financial Holdings Inc.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2025 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commission

LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended March 31, December 31, March 31, 2025 2024 Change 2024 Change REVENUE Advisory $ 1,689,245 $ 1,595,834

For Immediate Release LPL Financial Announces First Quarter 2025 Results Key Financial Results: •Net Income was $319 million, translating to diluted earnings per share ("EPS") of $4.

$1,500,000,000 LPL Holdings, Inc. $500,000,000 4.900% Senior Notes due 2028 $500,000,000 5.150% Senior Notes due 2030 $500,000,000 5.750% Senior Notes due 2035 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc.

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-285503 and 333-285503-01 Prospectus Supplement (To Prospectus dated March 25, 2025) $1,500,000,000 LPL Holdings, Inc. $500,000,000 4.900% Senior Notes due 2028 $500,000,000 5.150% Senior Notes due 2030 $500,000,000 5.750% Senior Notes due 2035 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc

Eighth Supplemental Indenture, dated April 3, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as trustee

Exhibit 4.4 EIGHTH SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of April 3, 2025, among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and the

Seventh Supplemental Indenture, dated April 3, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as trustee

Exhibit 4.3 SEVENTH SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of April 3, 2025, among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and the

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2025 LPL Financial Holdings Inc.

Underwriting Agreement, dated April 1, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc. and Morgan Stanley & Co. LLC, Citigroup Global Markets Inc., Citizens JMP Securities, LLC, Truist Securities, Inc. and U.S. Bancorp Investments, Inc., as representatives of the several underwriters named in Schedule I thereto.

Exhibit 1.1 LPL Holdings, Inc. $500,000,000 4.900% Senior Notes due 2028 $500,000,000 5.150% Senior Notes due 2030 $500,000,000 5.750% Senior Notes due 2035 Underwriting Agreement April 1, 2025 Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 Citigroup Global Markets Inc. 388 Greenwich Street New York, New York 10013 Citizens JMP Securities, LLC 600 Montgomery Street, Suite 1100 San

Sixth Supplemental Indenture, dated April 3, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as trustee

Exhibit 4.2 SIXTH SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of April 3, 2025, among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and the P

Underwriting Agreement dated March 31, 2025, by and between LPL Financial Holdings Inc. and Morgan Stanley & Co. LLC, as representative of the several underwriters named in Schedule I thereto

Exhibit 1.1 4,687,500 Shares LPL FINANCIAL HOLDINGS INC. COMMON STOCK, PAR VALUE $0.001 PER SHARE UNDERWRITING AGREEMENT March 31, 2025 March 31, 2025 Morgan Stanley & Co. LLC c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 Ladies and Gentlemen: LPL Financial Holdings Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in S

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 31, 2025 LPL Financial Holdings Inc.

LPL Financial Holdings Inc. 4,687,500 Shares of Common Stock

424B5 1 d905918d424b5.htm 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-285503 Prospectus Supplement (To Prospectus dated March 25, 2025) LPL Financial Holdings Inc. 4,687,500 Shares of Common Stock We are offering 4,687,500 shares of our common stock. We have granted the underwriters a 30-day option to purchase up to 703,125 additional shares of our common stock fr

SUBJECT TO COMPLETION, DATED APRIL 1, 2025

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-285503 and 333-285503-01 The information in this preliminary prospectus supplement is not complete and may be changed. Neither this preliminary prospectus supplement nor the accompanying prospectus is an offer to sell nor is it an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. SUBJE

LPL Holdings, Inc. $500,000,000 4.900% Senior Notes due 2028 $500,000,000 5.150% Senior Notes due 2030 $500,000,000 5.750% Senior Notes due 2035 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet

Free Writing Prospectus Filed Pursuant to Rule 433 Registration Nos. 333-285503 and 333-285503-01 April 1, 2025 LPL Holdings, Inc. $500,000,000 4.900% Senior Notes due 2028 $500,000,000 5.150% Senior Notes due 2030 $500,000,000 5.750% Senior Notes due 2035 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet This pricing term sheet (this “Pricing

Notice to Investors: Safe Harbor Statement Certain of the statements included in this presentation, such as those regarding the completion of the acquisition of Commonwealth Financial Network (“Commonwealth”) by LPL Financial Holdings Inc. (together

Exhibit 99.2 LPL Financial to Acquire Commonwealth Financial Network March 31, 2025 LPL Financial Member FINRA/SIPC Notice to Investors: Safe Harbor Statement Certain of the statements included in this presentation, such as those regarding the completion of the acquisition of Commonwealth Financial Network (“Commonwealth”) by LPL Financial Holdings Inc. (together with its subsidiaries, including L

SUBJECT TO COMPLETION, DATED MARCH 31, 2025

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-285503 The information in this preliminary prospectus supplement is not complete and may be changed. Neither this preliminary prospectus supplement nor the accompanying prospectus is an offer to sell nor is it an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. SUBJECT TO COMPLETION,

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2025 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commiss

Equity Purchase Agreement, dated as of March 28, 2025, by and among LPL Holdings, Inc., Gratitude Holdings, Inc., Odd Couple, Inc. and

Exhibit 2.1 EQUITY PURCHASE AGREEMENT by and among LPL HOLDINGS, INC. GRATITUDE HOLDINGS, INC. ODD COUPLE, INC. and CFN HOLDING COMPANY, LLC Dated as of March 28, 2025 TABLE OF CONTENTS Page ARTICLE I PURCHASE AND SALE OF EQUITY Section 1.1 Purchase and Sale of Equity 1 Section 1.2 Closing 1 Section 1.3 Closing Deliveries and Payments 2 Section 1.4 Treatment of Company Options 2 ARTICLE II PURCHAS

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Exhibit 99.1 LPL Financial to Acquire Commonwealth Financial Network • Commonwealth supports ~2,900 independent advisors managing ~$285 billion in assets • Commonwealth ranked #1 in Independent Advisor Satisfaction 11 times in a row by J.D. Power • Founder of Commonwealth to assume advisory role to LPL Board of Directors • Commonwealth CEO to join LPL Management Committee, partnering to launch Off

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.    )

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.    ) Filed by the Registrant  ☒ Filed by a Party other than the Registrant  ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Ru

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.    )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.    ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ De

As filed with the Securities and Exchange Commission on March 21, 2025

Table of Contents As filed with the Securities and Exchange Commission on March 21, 2025 Registration No.

Statement of Eligibility of Trustee (filed herewith)

EX-25.1 Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ☐ Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 91-1821036

LPL Financial Holdings Inc. LPL Holdings, Inc. 4707 Executive Drive, San Diego, CA 92121

LPL Financial Holdings Inc. LPL Holdings, Inc. 4707 Executive Drive, San Diego, CA 92121 March 21, 2025 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Jessica Livingston     Re: LPL Financial Holdings Inc.   LPL Holdings, Inc.   Registration Statement on Form S-3 (File No. 333-285503 and 333-285503-01)   Request for

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2025 LPL Financial Holdings Inc.

Form of Indenture (filed herewith)

Exhibit 4.2 LPL HOLDINGS, INC., as Company, LPL FINANCIAL HOLDINGS INC., as Parent Guarantor and [     ], as Trustee INDENTURE Dated as of [     ] CROSS-REFERENCE TABLE TIA Section Indenture Section 310 (a)(1) 8.9 (a)(2) 8.9 (a)(3) N/A (a)(4) N/A (a)(5) 8.9 (b) 8.8; 8.9 (c) N/A 311 (a) 8.13 (b) 8.13 (c) N/A 312 (a) 9.1 (b) 9.2 (c) 9.2 313 (a) 9.3 (b)(1) 9.3 (b)(2) 9.3 (c) 9.3 (d) 9.3 314 (a) 9.4 (

List of Subsidiary Guarantors and Issuers of Guaranteed Securities (filed herewith)

Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities LPL Financial Holdings Inc. will fully and unconditionally guarantee the debt securities issued by LPL Holdings, Inc., a subsidiary of LPL Financial Holdings Inc., pursuant to the registration statement of which this Exhibit 22.1 is a part.

Filing Fee Table (filed herewith)

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) LPL Financial Holdings Inc.

As filed with the Securities and Exchange Commission on March 3, 2025

Table of Contents As filed with the Securities and Exchange Commission on March 3, 2025 Registration No.

Fifth Supplemental Indenture, dated February 26, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S.

Exhibit 4.3 FIFTH SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of February 26, 2025, among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and t

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2025 LPL Financial Holdings Inc.

Fourth Supplemental Indenture, dated February 26, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as trustee

Exhibit 4.2 FOURTH SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of February 26, 2025, among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and

Underwriting Agreement, dated February 24, 2025, among LPL Holdings, the Company, Truist Securities, Inc., U.S. Bancorp Investments, Inc., BofA Securities, Inc., Citizens JMP Securities, LLC and J.P. Morgan Securities LLC, as representatives of the several underwriters named in Schedule 1 thereto

Exhibit 1.1 EXECUTION VERSION LPL Holdings, Inc. $750,000,000 5.200% Senior Notes due 2030 $500,000,000 5.650% Senior Notes due 2035 Underwriting Agreement February 24, 2025     Truist Securities, Inc. 3333 Peachtree Road, NE, 11th Floor Atlanta, Georgia 30326 U.S. Bancorp Investments, Inc. 214 N. Tryon St., 26th Floor Charlotte, North Carolina 28202 BofA Securities, Inc. One Bryant Park New York,

$1,250,000,000 LPL Holdings, Inc. $750,000,000 5.200% Senior Notes due 2030 $500,000,000 5.650% Senior Notes due 2035 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc.

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No 333-274631 and 333-274631-02 Prospectus Supplement (To Prospectus dated November 1, 2023) $1,250,000,000 LPL Holdings, Inc.

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 24, 2025 LPL Financial Holdings Inc.

SUBJECT TO COMPLETION, DATED FEBRUARY 24, 2025

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No 333-274631 and 333-274631-02 The information in this preliminary prospectus supplement is not complete and may be changed.

LPL Holdings, Inc. $750,000,000 5.200% Senior Notes due 2030 $500,000,000 5.650% Senior Notes due 2035 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet

Free Writing Prospectus Filed Pursuant to Rule 433 Registration Nos. 333-274631 and 333-274631-02 February 24, 2025 LPL Holdings, Inc. $750,000,000 5.200% Senior Notes due 2030 $500,000,000 5.650% Senior Notes due 2035 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet This pricing term sheet (this “Pricing Term Sheet”) is qualified in its enti

Insider Trading Policy*

LPL FINANCIAL HOLDINGS INC. INSIDER TRADING POLICY This policy applies to all employees, officers, directors and consultants of LPL Financial Holdings Inc. and its affiliates (the “Company”). This policy is designed to prevent insider trading or allegations of insider trading and to protect the Company’s reputation for integrity and ethical conduct. It is your obligation to understand and comply w

List of Subsidiaries of LPL Financial Holdings Inc.*

Exhibit 21.1 Subsidiaries of Registrant Subsidiary Entity Name Jurisdiction of Incorporation Name Under Which the Subsidiary Does Business 1. LPL Holdings, Inc.** Massachusetts LPL 2. PTC Holdings, Inc.** Ohio PTC 3. The Private Trust Company, N.A. Ohio PTC 4. LPL Financial LLC California LPL, LPL Financial 5. LPL Insurance Associates, Inc. Delaware LPL, LPL Financial 6. AW Subsidiary, Inc.** Dela

Exhibit 4.8

DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description of our common stock is a summary and does not purport to be complete.

Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan, as amended February 9, 2024.*

Name: [●] Target Number of PSUs: [●] Date of Grant: [●] EMPLOYEE PERFORMANCE STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-34963 LPL Financial Holdings Inc

Separation Agreement and General Release, dated December 8, 2024, between Dan H. Arnold and LPL Financial Holdings Inc.*

Settlement Agreement and General Release This Settlement Agreement and General Release (this “Agreement”), dated as of December 8, 2024, is made and entered into by and between Dan H.

List of subsidiary guarantors and issuers of guaranteed securities.*

Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of December 31, 2024, LPL Financial Holdings Inc., a Delaware corporation, has fully and unconditionally guaranteed the 5.700% Senior Notes due 2027, the 6.750% Senior Notes due 2028 and the 6.000% Senior Notes due 2034 issued by LPL Holdings, Inc., a Massachusetts corporation, pursuant to offerings registered under

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2025 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commi

LPL Financial Holdings Inc. Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended December 31, September 30, December 31, 2024 2024 Change 2023 Change REVENUE Advisory $ 1,595,834 $ 1,378,050 16

For Immediate Release LPL Financial Announces Fourth Quarter and Full Year 2024 Results Fourth Quarter 2024 Key Financial Results: •Net Income was $271 million, translating to diluted earnings per share ("EPS") of $3.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 8, 2024 LPL Financial Holdings Inc.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K/A Amendment No.

Ninth Amendment, dated December 5, 2024, among the Borrower, LPL Financial Holdings Inc., JPMorgan Chase Bank, N.A., as administrative agent, and the other lenders and parties party thereto

Exhibit 10.1 Execution Version NINTH AMENDMENT dated as of December 5, 2024 among LPL FINANCIAL HOLDINGS INC., as Holdings, LPL HOLDINGS, INC., as Borrower, THE LENDERS PARTY HERETO, JPMORGAN CHASE BANK, N.A., as Administrative Agent, TRUIST SECURITIES, INC., JPMORGAN CHASE BANK, N.A., U.S. BANK NATIONAL ASSOCIATION, CITIZENS BANK, N.A., and BANK OF AMERICA, N.A. as Joint Lead Arrangers and Joint

Ninth Amendment, dated December 5, 2024, among LPL Financial Holdings Inc., LPL Holdings, Inc., the Incremental Revolving Lenders (as defined therein), JPMorgan Chase Bank, N.A., as administrative agent and collateral agent, letter of credit issuer and swingline lender, and the lenders and parties party thereto from time to time (incorporated by reference to the Form 8-K filed on December 5, 2024, File No. 001-34963).

Exhibit 10.1 Execution Version NINTH AMENDMENT dated as of December 5, 2024 among LPL FINANCIAL HOLDINGS INC., as Holdings, LPL HOLDINGS, INC., as Borrower, THE LENDERS PARTY HERETO, JPMORGAN CHASE BANK, N.A., as Administrative Agent, TRUIST SECURITIES, INC., JPMORGAN CHASE BANK, N.A., U.S. BANK NATIONAL ASSOCIATION, CITIZENS BANK, N.A., and BANK OF AMERICA, N.A. as Joint Lead Arrangers and Joint

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 5, 2024 LPL Financial Holdings Inc.

List of Subsidiary Guarantors and Issuers of Guaranteed Securities.*

Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of September 30, 2024, LPL Financial Holdings Inc., a Delaware corporation, has fully and unconditionally guaranteed the 5.700% Senior Notes due 2027, the 6.750% Senior Notes due 2028 and the 6.000% Senior Notes due 2034 issued by LPL Holdings, Inc., a Massachusetts corporation, pursuant to offerings registered unde

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL F

LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended September 30, June 30, September 30, 2024 2024 Change 2023 Change REVENUE Advisory $ 1,378,050 $ 1,288

For Immediate Release LPL Financial Announces Third Quarter 2024 Results Key Financial Results •Net Income was $255 million, translating to diluted earnings per share ("EPS") of $3.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2024 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commi

Regulation FD Disclosure

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 17, 2024 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commi

LPL Public Relations

Exhibit 99.1 LPL Public Relations For Immediate Release Rich Steinmeier Named Chief Executive Officer of LPL Financial; Elected to Board of Directors Matt Audette Named President; Expands Current CFO Role SAN DIEGO – Oct. 21, 2024 – LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that the Board of Directors has confirmed Rich Steinmeier as Chief Executive Officer. Steinmeier, who had be

Regulation FD Disclosure

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 1, 2024 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commis

LPL Financial Holdings Inc. Announces Termination of President and CEO Dan H. Arnold Board of Directors Names Chief Growth Officer Rich Steinmeier as Interim CEO

Exhibit 99.1 LPL Financial Holdings Inc. Announces Termination of President and CEO Dan H. Arnold Board of Directors Names Chief Growth Officer Rich Steinmeier as Interim CEO SAN DIEGO, California – October 1, 2024 – LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that the Board of Directors has terminated the company’s President and Chief Executive Officer, Dan H. Arnold, effective imm

LPL Financial Holdings Inc. Non-Employee Director Compensation Policy, as amended May

Exhibit 10.1 LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy Annual Retainer •All non-employee directors receive an annual retainer of $285,000, which is paid in advance on the next business day following the Company’s annual meeting of stockholders (the “Annual Payment Date”). Of this amount, $100,000 is paid in a lump sum in cash and $185,000 is paid in the form of restrict

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Financ

List of Subsidiary Guarantors and Issuers of Guaranteed Securities.*

Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of June 30, 2024, LPL Financial Holdings Inc., a Delaware corporation, has fully and unconditionally guaranteed the 5.700% Senior Notes due 2027, the 6.750% Senior Notes due 2028 and the 6.000% Senior Notes due 2034 issued by LPL Holdings, Inc., a Massachusetts corporation, pursuant to offerings registered under the

ial Holdings Inc. Non-Employee Director Deferred Compensation Plan, as amended May

Exhibit 10.2 LPL FINANCIAL HOLDINGS, INC. NON-EMPLOYEE DIRECTOR DEFERRED COMPENSATION PLAN Amended as of May 9, 2024 1.DEFINED TERMS Exhibit A, which is incorporated by reference, defines the terms used in this Plan and sets forth certain operational rules relating to those terms. 2.PURPOSE; EFFECTIVE DATE The purpose of the Plan is to enable Directors to defer the receipt of certain compensation

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 25, 2024 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commissi

LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended June 30, March 31, June 30, 2024 2024 Change 2023 Change REVENUE Advisory $ 1,288,163 $ 1,199,811 7 %

For Immediate Release LPL Financial Announces Second Quarter 2024 Results Key Financial Results •Net Income was $244 million, translating to diluted earnings per share ("EPS") of $3.

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 20, 2024 LPL Financial Holdings Inc.

Third Supplemental Indenture, dated as of May 20, 2024, among LPL Holdings, U.S. Bank Trust Company, National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors (incorporated by reference to the Form 8-K filed on May 20, 2024, File No. 001-34963).

Exhibit 4.3 THIRD SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of May 20, 2024 among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and the Par

Second Supplemental Indenture, dated as of May 20, 2024, among LPL Holdings, U.S. Bank Trust Company, National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors (incorporated by reference to the Form 8-K filed on May 20, 2024, File No. 001-34963).

Exhibit 4.2 SECOND SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of May 20, 2024 among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and the Pa

Eighth Amendment, dated May 20, 2024, among LPL Financial Holdings Inc., LPL Holdings, Inc., certain subsidiaries of the Company, as Subsidiary Guarantors (as defined therein), the Incremental Revolving Lenders (as defined therein), JPMorgan Chase Bank, N.A., as administrative agent and collateral agent, letter of credit issuer and swingline lender, and the lenders and parties party thereto from time to time (incorporated by reference to the Form 8-K filed on May 20, 2024, File No. 001-34963).

Exhibit 10.1 Execution Version EIGHTH AMENDMENT dated as of May 20, 2024 among LPL FINANCIAL HOLDINGS INC., as Holdings, LPL HOLDINGS, INC., as Borrower, CERTAIN SUBSIDIARIES OF LPL FINANCIAL HOLDINGS INC., as Subsidiary Guarantors, THE INCREMENTAL REVOLVING LENDERS PARTY HERETO, JPMORGAN CHASE BANK, N.A., as Administrative Agent, JPMORGAN CHASE BANK, N.A., CITIBANK, N.A., CITIZENS BANK, N.A., TRU

$1,000,000,000 LPL Holdings, Inc. $500,000,000 5.700% Senior Notes due 2027 $500,000,000 6.000% Senior Notes due 2034 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc.

Table of Contents Filed Pursuant to Rule 424(b)(5) File Number 333-274631 and 333-274631-02 Prospectus Supplement (To Prospectus dated November 1, 2023) $1,000,000,000 LPL Holdings, Inc.

LPL Holdings, Inc. $500,000,000 5.700% Senior Notes due 2027 $500,000,000 6.000% Senior Notes due 2034 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet

Free Writing Prospectus Filed Pursuant to Rule 433 Registration Nos. 333-274631 and 333-274631-02 May 13, 2024 LPL Holdings, Inc. $500,000,000 5.700% Senior Notes due 2027 $500,000,000 6.000% Senior Notes due 2034 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet This pricing term sheet (this “Pricing Term Sheet”) is qualified in its entirety

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2024 LPL Financial Holdings Inc.

Underwriting Agreement, dated May 13, 2024, among LPL Holdings, the Company, J.P. Morgan Securities LLC, Citigroup Global Markets Inc., Citizens JMP Securities, LLC, Truist Securities, Inc. and U.S. Bancorp Investments, Inc., as representatives of the several underwriters named in Schedule 1 thereto

Exhibit 1.1 EXECUTION VERSION LPL Holdings, Inc. $500,000,000 5.700% Senior Notes due 2027 $500,000,000 6.000% Senior Notes due 2034 Underwriting Agreement May 13, 2024 J.P. Morgan Securities LLC 383 Madison Avenue New York, New York 10179 Citigroup Global Markets Inc. 388 Greenwich Street New York, New York 10013 Citizens JMP Securities, LLC 28 State Street, Floor 12 Boston, Massachusetts 02109 T

SUBJECT TO COMPLETION, DATED MAY 13, 2024

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) File Number 333-274631 and 333-274631-02 The information in this preliminary prospectus supplement is not complete and may be changed.

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2024 LPL Financial Holdings Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Finan

List of Subsidiary Guarantors and Issuers of Guaranteed Securities.*

Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of March 31, 2024, LPL Financial Holdings Inc., a Delaware corporation, has fully and unconditionally guaranteed the 6.750% Senior Notes due 2028 issued by LPL Holdings, Inc., a Massachusetts corporation, pursuant to an offering registered under the Securities Act of 1933, as amended.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2024 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commiss

LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended March 31, December 31, March 31, 2024 2023 Change 2023 Change REVENUE Advisory $ 1,199,811 $ 1,085,497

For Immediate Release LPL Financial Announces First Quarter 2024 Results Key Financial Results •Net Income was $289 million, translating to diluted earnings per share ("EPS") of $3.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.    )

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.    ) Filed by the Registrant  ☒ Filed by a Party other than the Registrant  ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Ru

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.    )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.    ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ De

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (date of earliest event reported): February 26, 2024 LPL Financial Holdings Inc.

Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan, as amended February 9, 2024.*

Exhibit 10.15 Name: [●] Target Number of PSUs: [●] Date of Grant: [●] EMPLOYEE PERFORMANCE STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the “Agreement”) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the “Company”), to the individual named above (the “Participant”) pursuant to and subject

subsidiary guarantors and issuers of guaranteed se

Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of December 31, 2023, LPL Financial Holdings Inc., a Delaware corporation, has fully and unconditionally guaranteed the 6.750% Senior Notes due 2028 issued by LPL Holdings, Inc., a Massachusetts corporation, pursuant to an offering registered under the Securities Act of 1933, as amended.

List of Subsidiaries of LPL Financial Holdings Inc.*

Exhibit 21.1 Subsidiaries of Registrant Subsidiary Entity Name Jurisdiction of Incorporation Name Under Which the Subsidiary Does Business 1. LPL Holdings, Inc.** Massachusetts LPL 2. PTC Holdings, Inc.** Ohio PTC 3. The Private Trust Company, N.A. Ohio PTC 4. LPL Financial LLC California LPL, LPL Financial 5. LPL Insurance Associates, Inc. Delaware LPL, LPL Financial 6. AW Subsidiary, Inc.** Dela

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-34963 LPL Financial Holdings Inc

PL Financial Holdings Inc. Clawback Policy.*

Exhibit 97 LPL FINANCIAL HOLDINGS INC. Clawback Policy LPL Financial Holdings Inc. (the “Company”) has adopted this clawback policy (the “Policy”) to serve as the Company’s primary policy governing the recovery of Incentive-Based Compensation from Executive Officers in the event of a Restatement (as such terms are defined below). This Policy shall be interpreted to comply with the clawback rules f

Description of Registrant’s Securities.*

Exhibit 4.6 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description of our common stock is a summary and does not purport to be complete. It is subject to and qualified in its entirety by reference to our Amended and Restated Certificate of Incorporation (our “Certificate”) and our Seventh Amended and Restated Bylaws

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (date of earliest event reported): February 15, 2024 LPL Financial Holdings Inc.

Seventh Amended and Restated Bylaws of LPL Financial Holdings Inc. (incorporated by reference to the Form 8-K filed on February 20, 2024, File No. 001-34963).

Exhibit 3.1 LPL FINANCIAL HOLDINGS INC. (the “Corporation”) SEVENTH AMENDED AND RESTATED BYLAWS SECTION 1 — STOCKHOLDERS Section 1.1. Annual Meeting. An annual meeting of the stockholders for the election of directors to succeed those whose term expire and for the transaction of such other business as may properly come before the meeting shall be held at the place, if any, within or without the St

LPLA / LPL Financial Holdings Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SC 13G/A 1 tv01369-lplfinancialholdings.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 10)* Name of issuer: LPL Financial Holdings Inc Title of Class of Securities: Common Stock CUSIP Number: 50212V100 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate bo

LPL FINANCIAL TO ACQUIRE ATRIA WEALTH SOLUTIONS Atria Wealth Solutions supports approximately 2,400 advisors and 150 banks and credit unions, managing approximately $100 billion of brokerage and advisory assets.

EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE LPL FINANCIAL TO ACQUIRE ATRIA WEALTH SOLUTIONS Atria Wealth Solutions supports approximately 2,400 advisors and 150 banks and credit unions, managing approximately $100 billion of brokerage and advisory assets. SAN DIEGO – Feb. 13, 2024 – LPL Financial Holdings Inc. (NASDAQ: LPLA) (together with its subsidiaries, including LPL Financial LLC, “LPL Financi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 13, 2024 LPL Financial H

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 13, 2024 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Comm

LPL Financial Holdings Inc. Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended December 31, September 30, December 31, 2023 2023 Change 2022 Change REVENUE Advisory $ 1,085,497 $ 1,081,562 —

For Immediate Release LPL Financial Announces Fourth Quarter and Full Year 2023 Results Fourth Quarter 2023 Key Financial Results •Net Income was $218 million, translating to diluted earnings per share ("EPS") of $2.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 1, 2024 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commi

Indenture, dated November 17, 2023, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as trustee (incorporated by reference to Exhibit 4.1 to the Guarantor’s Current Report on Form 8-K filed on November 17, 2023)

Exhibit 4.1 LPL HOLDINGS, INC., as Company, LPL FINANCIAL HOLDINGS INC., as Parent Guarantor and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee INDENTURE Dated as of November 17, 2023 CROSS-REFERENCE TABLE TIA Section Indenture Section 310 (a)(1) 8.9 (a)(2) 8.9 (a)(3) N/A (a)(4) N/A (a)(5) 8.9 (b) 8.8; 8.9 (c) N/A 311 (a) 8.13 (b) 8.13 (c) N/A 312 (a) 9.1 (b) 9.2 (c) 9.2 313 (a) 9.3 (b)

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 17, 2023 LPL Financial Holdings Inc.

First Supplemental Indenture, dated as of November 17, 2023, among LPL Holdings, U.S. Bank Trust Company, National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors (incorporated by reference to the Form 8-K filed on November 17, 2023, File No. 001-34963).

Exhibit 4.2 FIRST SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), dated as of November 17, 2023 among LPL Holdings, Inc., a Massachusetts corporation (the “Company”), LPL Financial Holdings Inc., a Delaware corporation (the “Parent Guarantor”), and U.S. Bank Trust Company, National Association, a national banking association, as trustee (the “Trustee”). RECITALS WHEREAS, the Company and th

$750,000,000 LPL Holdings, Inc. 6.750% Senior Notes due 2028 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc.

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) File Numbers 333-274631 and 333-274631-02 Prospectus Supplement (To Prospectus dated November 1, 2023) $750,000,000 LPL Holdings, Inc.

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2023 LPL Financial Holdings Inc.

Underwriting Agreement, dated November 8, 2023, among LPL Holdings, the Company, Citigroup Global Markets Inc., J.P. Morgan Securities LLC, Morgan Stanley & Co. LLC and U.S. Bancorp Investments, Inc., as representatives of the several underwriters named in Schedule 1 thereto

Exhibit 1.1 Execution Version $750,000,000 LPL Holdings, Inc. 6.750% Senior Notes due 2028 Underwriting Agreement November 8, 2023 Citigroup Global Markets Inc. 388 Greenwich Street New York, New York 10013 J.P. Morgan Securities LLC 383 Madison Avenue New York, New York 10179 Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 U.S. Bancorp Investments, Inc. 214 N. Tryon St. 26th Floor

SUBJECT TO COMPLETION, DATED NOVEMBER 8, 2023

Table of Contents Filed Pursuant to Rule 424(b)(5) File Number 333-274631 The information in this preliminary prospectus supplement is not complete and may be changed.

LPL Holdings, Inc. $750,000,000 6.750% Senior Notes due 2028 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet

Free Writing Prospectus Filed Pursuant to Rule 433 Registration Nos. 333-274631 and 333-274631-02 November 8, 2023 LPL Holdings, Inc. $750,000,000 6.750% Senior Notes due 2028 Guaranteed as to the Payment of Principal and Interest by LPL Financial Holdings Inc. Pricing Term Sheet This pricing term sheet (this “Pricing Term Sheet”) is qualified in its entirety by reference to the preliminary prospe

, among LPL Financial Holdings Inc., LPL Holdings, Inc., certain subsidiaries of the Company, as Subsidiary Guarantors (as defined therein), the Incremental Revolving Lenders (as defined therein), JPMorgan Chase Bank, N.A., as administrative agent and collateral agent, letter of credit issuer and swingline lender, and the lenders and parties party thereto from time to time (incorporated by reference to the Form

Exhibit 10.1 Execution Version ………………………………………… SEVENTH AMENDMENT dated as of July 18, 2023 among LPL FINANCIAL HOLDINGS INC., as Holdings, LPL HOLDINGS, INC., as Borrower, CERTAIN SUBSIDIARIES OF LPL FINANCIAL HOLDINGS INC., as Subsidiary Guarantors, ………………………………………… the INCREMENTAL REVOLVING Lenders Party Hereto, JPMorgan Chase Bank, N.A., as Administrative Agent, JPMorgan Chase Bank, N.A., CITI

List of Subsidiary Guarantors and Issuers of Guaranteed Securities

Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities LPL Financial Holdings Inc. will fully and unconditionally guarantee the debt securities that may be issued by LPL Holdings, Inc., a subsidiary of LPL Financial Holdings Inc., pursuant to a Registration Statement on Form S-3 (File No. 333-274631).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL F

LPL FINANCIAL HOLDINGS INC. LPL HOLDINGS, INC. 4707 Executive Drive San Diego, CA 92121

LPL FINANCIAL HOLDINGS INC. LPL HOLDINGS, INC. 4707 Executive Drive San Diego, CA 92121 October 30, 2023 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention:   Robert Arzonetti & Susan Block Re: LPL Financial Holdings Inc. LPL Holdings, Inc. Registration Statement on Form S-3 (File No. 333-274631) Request for Acceleration

List of Subsidiary Guarantors and Issuers of Guaranteed Securities (filed herewith)

Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities LPL Financial Holdings Inc. will fully and unconditionally guarantee the debt securities issued by LPL Holdings, Inc., a subsidiary of LPL Financial Holdings Inc., pursuant to the registration statement of which this Exhibit 22.1 is a part.

October 27, 2023

October 27, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Robert Arzonetti & Susan Block Re: LPL Financial Holdings Inc. Registration Statement on Form S-3 Filed September 22, 2023 File No. 333-274631 Dear Mr. Arzonetti and Ms. Block: On behalf of LPL Financial Holdings Inc. (“LPL” or the “Company”), we h

As filed with the Securities and Exchange Commission on October 27, 2023

As filed with the Securities and Exchange Commission on October 27, 2023 Registration No.

Filing Fee Table (filed herewith)

EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) LPL Financial Holdings Inc.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2023 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commi

LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended September 30, June 30, September 30, 2023 2023 Change 2022 Change REVENUE Advisory $ 1,081,562 $ 1,014

For Immediate Release LPL Financial Announces Third Quarter 2023 Results Key Financial Results •Net Income was $224 million, translating to diluted earnings per share ("EPS") of $2.

ROPES & GRAY LLP

ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW.ROPESGRAY.COM October 17, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Robert Arzonetti & Susan Block Re: LPL Financial Holdings Inc. Registration Statement on Form S-3 Filed September 22, 2023 File No. 333-274631 Dear Mr. Ar

Form of Indenture (filed herewith)

Exhibit 4.2 LPL HOLDINGS, INC., as Company, LPL Financial Holdings Inc., as Guarantor and [ ], as Trustee INDENTURE Dated as of [ ] CROSS-REFERENCE TABLE TIA Section Indenture Section 310 (a)(1) 8.9 (a)(2) 8.9 (a)(3) N/A (a)(4) N/A (a)(5) 8.9 (b) 8.8; 8.9 (c) N/A 311 (a) 8.13 (b) 8.13 (c) N/A 312 (a) 9.1 (b) 9.2 (c) 9.2 313 (a) 9.3 (b)(1) 9.3 (b)(2) 9.3 (c) 9.3 (d) 9.3 314 (a) 9.4 (b) N/A (c)(1) 1

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) LPL Financial Holdings Inc.

As filed with the Securities and Exchange Commission on October 17, 2023

Table of Contents As filed with the Securities and Exchange Commission on October 17, 2023 Registration No.

Certificate of Amendment of Certificate of Incorporation of Independent Advisers Group Corporation, dated January 6, 2020 (filed herewith)

Exhibit 3.11 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION Independent Advisers Group Corporation (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify: FIRST: That, by unanimous written consent of the board of directors of the Corporation in accordance with Sections 141 and 242(a)(1) of

Amended and Restated Bylaws of LPL Capital Partners, Inc. (filed herewith)

Exhibit 3.12 AMENDED AND RESTATED BY-LAWS OF LPL CAPITAL PARTNERS, INC. ARTICLE I - STOCKHOLDERS Section 1. Annual Meeting. An annual meeting of the stockholders, for the election of directors to succeed those whose terms expire and for the transaction of such other business as may properly come before the meeting, shall be held at ten o’clock a.m. or such other time as is determined by the Board

Certificate of Amendment of Restated Certificate of Incorporation of PHL Associates, Inc., dated June 18, 2001 (filed herewith)

Exhibit 3.15 CERTIFICATE OF AMENDMENT OF RESTATED CERTIFICATE OF INCORPORATION OF PHL ASSOCIATES, INC. PHL Associates, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, hereby certifies as follows: FIRST: That the Board of Directors of said corporation, by the unanimous written consent of its directors, filed with the minutes of

Certificate of Correction Filed to Correct a Certain Error in the Certificate of Incorporation of Independent Advisors Group Corporation, dated April 4, 1996 (filed herewith)

Exhibit 3.9 CERTIFICATE OF CORRECTION FILED TO CORRECT A CERTAIN ERROR IN THE CERTIFICATE OF INCORPORATION OF INDEPENDENT ADVISORS GROUP CORPORATION FILED IN THE OFFICE OF THE SECRETARY OF STATE OF DELAWARE ON DECEMBER 5, 1995. Independent Advisor Group Corporation, a corporation organized and existing under any by virtue of the General Corporation, Law of the State of Delaware. DOES HEREBY CERTIF

Amended and Restated Bylaws of LPL Insurance Associates, Inc. (filed herewith)

Exhibit 3.18 AMENDED AND RESTATED BYLAWS OF LPL INSURANCE ASSOCIATES, INC. ARTICLE I Offices Section 1. The registered office shall be in the City of Wilmington, County of New Castle, State of Delaware. Section 2. The corporation may also have offices at such other places both within and without the State of Delaware as the board of directors may from time to time determine or the business of the

Certificate of Ownership Merging PHL Associates Insurance Agency of OH, Inc. with and into PHL Associates, Inc., dated June 16, 2000 (filed herewith)

Exhibit 3.14 STATE OF DELAWARE CERTIFICATE OF OWNERSHIP Subsidiary into Parent Section 253 CERTIFICATE OF OWNERSHIP MERGING PHL ASSOCIATES INSURANCE AGENCY OF OH, INC. WITH AND INTO PHL ASSOCIATES, INC. Pursuant to §253 of the General Corporation Law of the State of Delaware, PHL Associates, Inc., a corporation organized under the laws of Delaware on October 13,1995, hereby certifies to the follow

Certificate of Amendment of Certificate of Incorporation of Independent Advisers Group Corporation, dated May 10, 2013 (filed herewith)

Exhibit 3.10 CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF INDEPENDENT ADVISERS GROUP CORPORATION Independent Advisers Group Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), DOES HEREBY CERTIFY: FIRST: That Section 4 of the Certificate of Incorporation (the “Certificate”) is hereby a

Amended Certificate of Incorporation of Linsco/Private Ledger Insurance Associates, Inc., dated February 3, 2009 (filed herewith)

Exhibit 3.17 AMENDED CERTIFICATE OF INCORPORATION Linsco/Private Ledger Insurance Associates, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, DOES HEREBY CERTIFY: FIRST: That the Board of Directors (the “Board”) of said corporation, by the unanimous written consent of its members filed with the minutes of the Board a resolutio

Certificate of Incorporation of Independent Advisors Group Corporation, dated December 5, 1995 (filed herewith)

Exhibit 3.8 CERTIFICATE OF INCORPORATION OF Independent Advisors Group Corporation A CLOSE CORPORATION 1. The name of the corporation is Independent Advisors Group Corporation, 2. The address of its registered office in the Stats of Delaware is Corporation Trust Center, 1209 Orange Street, in the City of Wilmington, County of New Castle, The name of its registered agent at such address is The Corp

Restated Certificate of Incorporation of PHL Associates, Inc., dated May 1, 1996 (filed herewith)

Exhibit 3.13 RESTATED CERTIFICATE OF INCORPORATION OF PHL ASSOCIATES, INC. PHL Associates, Inc., a corporation organized and existing under the laws of the State of Delaware, hereby certifies as follows: 1. The name of the corporation is PHL Associates, Inc. The date of filing of its original Certificate of Incorporation with the Secretary of State was October 13, 1995. 2. This Restated Certificat

Certificate of Amendment of Restated Certificate of Incorporation of WS Griffith Associates, Inc., dated June 4, 2004 (filed herewith)

Exhibit 3.16 CERTIFICATE OF AMENDMENT OF RESTATED CERTIFICATE OF INCORPORATION WS Griffith Associates, Inc, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, DOES HEREBY CERTIFY: FIRST: That the Board of Directors of said corporation, by unanimous written consent of the members, filed with the minutes of the Board, adopted a resolutio

Form of Indenture (filed herewith)

Exhibit 4.2 LPL HOLDINGS, INC., as Company, and [ ], as Trustee INDENTURE Dated as of [ ] CROSS-REFERENCE TABLE TIA Section Indenture Section 310 (a)(1) 8.9 (a)(2) 8.9 (a)(3) N/A (a)(4) N/A (a)(5) 8.9 (b) 8.8; 8.9 (c) N/A 311 (a) 8.13 (b) 8.13 (c) N/A 312 (a) 9.1 (b) 9.2 (c) 9.2 313 (a) 9.3 (b)(1) 9.3 (b)(2) 9.3 (c) 9.3 (d) 9.3 314 (a) 9.4 (b) N/A (c)(1) 1.2 (c)(2) 1.2 (c)(3) N/A (d) N/A (e) 1.2 (

As filed with the Securities and Exchange Commission on September 22, 2023

Table of Contents As filed with the Securities and Exchange Commission on September 22, 2023 Registration No.

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) LPL Financial Holdings Inc.

List of subsidiary guarantors and issuers of guaranteed securities (filed herewith)

Exhibit 22.1 List of Subsidiary Guarantors and Issuers of Guaranteed Securities As of the date of the registration statement of which this Exhibit 22.1 is a part, the following entities are guarantors of the 4.625% Senior Notes due 2027, the 4.000% Senior Notes due 2029 and the 4.375% Senior Notes due 2031, each issued by LPL Holdings, Inc., a subsidiary of LPL Financial Holdings Inc. In addition,

PRUDENTIAL FINANCIAL AND LPL FINANCIAL SIGN STRATEGIC RELATIONSHIP AGREEMENT TO EXPAND RETAIL WEALTH MANAGEMENT CAPABILITIES AND DRIVE GROWTH

Exhibit 99.1 For Immediate Release PRUDENTIAL FINANCIAL AND LPL FINANCIAL SIGN STRATEGIC RELATIONSHIP AGREEMENT TO EXPAND RETAIL WEALTH MANAGEMENT CAPABILITIES AND DRIVE GROWTH Newark, NJ and Charlotte, NC – August 24, 2023 – Prudential Financial, Inc. (NYSE: PRU) (“Prudential”) and LPL Financial Holdings Inc. (Nasdaq: LPLA) (“LPL”) today announced a strategic relationship agreement designed to en

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 24, 2023 LPL Financial Holdi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 24, 2023 LPL Financial Holdings Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Financ

LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended June 30, March 31, June 30, 2023 2023 Change 2022 Change REVENUE Advisory $ 1,014,565 $ 954,057 6 % $

For Immediate Release LPL Financial Announces Second Quarter 2023 Results Key Financial Results •Net Income was $286 million, translating to diluted earnings per share ("EPS") of $3.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2023 LPL Financial Holdi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2023 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commissi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2023 LPL Financial Holdings

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2023 LPL Financial Holdings Inc.

, among LPL Financial Holdings Inc., LPL Holdings, Inc., certain subsidiaries of the Company, as Subsidiary Guarantors (as defined therein), the Incremental Revolving Lenders (as defined therein), JPMorgan Chase Bank, N.A., as administrative agent and collateral agent, letter of credit issuer and swingline lender, and the lenders and parties party thereto from time to time (incorporated by reference to the Form

Exhibit 10.1 Execution Version SIXTH AMENDMENT This SIXTH AMENDMENT (this “Agreement”), dated as of March 13, 2023, is made by and among LPL HOLDINGS, INC., a Massachusetts corporation (the “Borrower”), LPL FINANCIAL HOLDINGS INC., a Delaware corporation (“Holdings”), each subsidiary of the Borrower listed on the signature pages hereto (the “Subsidiary Guarantors”; the Subsidiary Guarantors, toget

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Finan

LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended March 31, December 31, March 31, 2023 2022 Change 2022 Change REVENUE Advisory $ 954,057 $ 902,440 6 %

For Immediate Release LPL Financial Announces First Quarter 2023 Results Key Financial Results •Net Income was $339 million, translating to diluted earnings per share ("EPS") of $4.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2023 LPL Financial Holdin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2023 LPL Financial Holdings Inc.

LPLA / LPL Financial Holdings Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 9)* Name of issuer: LPL Financial Holdings Inc. Title of Class of Securities: Common Stock CUSIP Number: 50212V100 Date of Event Which Requires Filing of this Statement: March 31, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is fil

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

DEFA14A 1 d428387ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14

Exhibit 4.4

Exhibit 4.4 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description of our common stock is a summary and does not purport to be complete. It is subject to and qualified in its entirety by reference to our Amended and Restated Certificate of Incorporation (our “Certificate”) and our Sixth Amended and Restated Bylaws (

List of Subsidiaries of LPL Financial Holdings Inc.*

Exhibit 21.1 Subsidiaries of Registrant Subsidiary Entity Name Jurisdiction of Incorporation Name Under Which the Subsidiary Does Business 1. LPL Holdings, Inc.** Massachusetts LPL 2. PTC Holdings, Inc.** Ohio PTC 3. The Private Trust Company, N.A. Ohio PTC 4. LPL Financial LLC California LPL, LPL Financial 5. LPL Insurance Associates, Inc. Delaware LPL, LPL Financial 6. Fortigent Holdings Company

Form of Employee Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan, as amended February 6, 2023

Exhibit 10.13 Name: [●] Number of Restricted Stock Units: [●] Date of Grant: [●] EMPLOYEE RESTRICTED STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the “Agreement”) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the “Company”), to the individual named above (the “Participant”) pursuant to an

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-34963 LPL Financial Holdings Inc

LPL FINANCIAL REALIGNS ORGANIZATION IN SUPPORT OF CLIENT EXPERIENCE Managing Directors Matt Enyedi, Matt Audette take expanded roles to enrich how advisors and institutions interact with the firm

Exhibit 99.1 LPL FINANCIAL REALIGNS ORGANIZATION IN SUPPORT OF CLIENT EXPERIENCE Managing Directors Matt Enyedi, Matt Audette take expanded roles to enrich how advisors and institutions interact with the firm CHARLOTTE, N.C. – February 16, 2023 – LPL Financial LLC announced today Managing Directors Matt Enyedi and Matt Audette will assume expanded roles centered around client interactions and oper

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 February 13, 2023 Date of report (date of earliest event reported) LPL Financial Holdings Inc.

LPLA / LPL Financial Holdings Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SC 13G/A 1 tv01334-lplfinancialholdings.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 8)* Name of issuer: LPL Financial Holdings Inc. Title of Class of Securities: Common Stock CUSIP Number: 50212V100 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate bo

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 2, 2023 LPL Financial Holdings Inc.

LPL Financial Holdings Inc. Consolidated Statements of Income (In thousands, except per share data) Three Months Ended Three Months Ended December 31, September 30, December 31, 2022 2022 Change 2021 Change REVENUE Advisory $ 902,440 $ 923,766 (2 %)

EX-99.1 2 a2022q4earningsrelease.htm EX-99.1 For Immediate Release LPL Financial Announces Fourth Quarter and Full Year 2022 Results Fourth Quarter 2022 Key Financial Results •Net Income was $319 million, translating to diluted earnings per share ("EPS") of $3.95, up 199% from a year ago •EPS prior to amortization of intangible assets and acquisition costs* increased 158% year-over-year to $4.21 ◦

ALBERT KO ELECTED TO LPL FINANCIAL BOARD OF DIRECTORS

Exhibit 99.1 For Immediate Release ALBERT KO ELECTED TO LPL FINANCIAL BOARD OF DIRECTORS CHARLOTTE, N.C. – January 11, 2023 – LPL Financial Holdings, Inc. (NASDAQ: LPLA) today announced that Albert “Al” Ko has been elected to the company’s board of directors as an additional independent director. Ko serves as chief executive officer of Early Warning Services, LLC, a financial technology company ow

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 9, 2023 LPL Financial Holdi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 9, 2023 LPL Financial Holdings Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL F

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 27, 2022 LPL Financial Holdings Inc.

LPL Financial Announces Third Quarter 2022 Results

For Immediate Release LPL Financial Announces Third Quarter 2022 Results Key Financial Results ?Net Income was $232 million, translating to diluted earnings per share ("EPS") of $2.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Financ

LPL Financial Holdings Inc. Non-Employee Director Compensation Policy, as amended May 18, 2022 (incorporated by reference to the Form 10-Q filed on August 4, 2022, File No. 001-34963).

Exhibit 10.1 LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy Annual Retainer ?All non-employee directors receive an annual retainer of $255,000, which is paid in advance on the next business day following the Company?s annual meeting of stockholders (the ?Annual Payment Date?). Of this amount, $100,000 is paid in a lump sum in cash and $155,000 is paid in the form of restrict

LPL Financial Announces Second Quarter 2022 Results

For Immediate Release LPL Financial Announces Second Quarter 2022 Results Key Financial Results •Net Income was $161 million, translating to diluted earnings per share ("EPS") of $1.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2022 LPL Financial Holdings Inc.

Regulation FD Disclosure

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2022 LPL Financial Holdings Inc.

Other Events, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 18, 2022 LPL Financial Holdings Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Finan

LPL Financial Announces First Quarter 2022 Results

Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (813) 351-9203 investor.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2022 LPL Financial Holdings Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

DEFA14A 1 d299029ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 16, 2022 LPL Financial Holdings Inc.

Sixth Amended and Restated Bylaws of LPL Financial Holdings Inc. (incorporated by reference to the Form 8-K filed on February 23, 2022, File No. 001-34963)

Exhibit 3.1 LPL FINANCIAL HOLDINGS INC. (the ?Corporation?) SIXTH AMENDED AND RESTATED BYLAWS SECTION 1 ? STOCKHOLDERS Section 1.1. Annual Meeting. An annual meeting of the stockholders for the election of directors to succeed those whose term expire and for the transaction of such other business as may properly come before the meeting shall be held at the place, if any, within or without the Stat

LPL Financial Holdings Inc. Non-Employee Director Deferred Compensation Plan, as amended May 5, 2021 (incorporated by reference to the Form 10-K filed on February 22, 2022, File No. 001-34963).

Exhibit 10.17 LPL FINANCIAL HOLDINGS INC. NON-EMPLOYEE DIRECTOR DEFERRED COMPENSATION PLAN Amended as of May 5, 2021 1.DEFINED TERMS Exhibit A, which is incorporated by reference, defines the terms used in this Plan and sets forth certain operational rules relating to those terms. 2.PURPOSE; EFFECTIVE DATE The purpose of the Plan is to enable Directors to defer the receipt of certain compensation

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-34963 LPL Financial Holdings Inc

LPL Financial Holdings Inc. Non-Employee Director Compensation Policy, as amended May 5, 2021.*

Exhibit 10.18 LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy Annual Retainer ?All non-employee directors receive an annual retainer of $235,000, which is paid in advance on the next business day following the Company?s annual meeting of stockholders (the ?Annual Payment Date?). Of this amount, $80,000 is paid in a lump sum in cash and $155,000 is paid in the form of restrict

List of Subsidiaries of LPL Financial Holdings Inc.*

Exhibit 21.1 Subsidiaries of Registrant Subsidiary Entity Name Jurisdiction of Incorporation Name Under Which the Subsidiary Does Business 1. LPL Holdings, Inc.** Massachusetts LPL 2. PTC Holdings, Inc.** Ohio PTC 3. The Private Trust Company, N.A. Ohio PTC 4. LPL Financial LLC California LPL, LPL Financial 5. LPL Insurance Associates, Inc. Delaware LPL, LPL Financial 6. Fortigent Holdings Company

LPLA / LPL Financial Holdings Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 7)* Name of issuer: LPL Financial Holdings Inc. Title of Class of Securities: Common Stock CUSIP Number: 50212V100 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is

LPLA / LPL Financial Holdings Inc / WELLINGTON MANAGEMENT GROUP LLP - SEC SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* LPL Financial Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 50212V100 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2022 LPL Financial Holdings Inc.

LPL Financial Announces Fourth Quarter and Full Year 2021 Results

Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (813) 351-9203 investor.

Leave Letter Agreement between LPL Financial LLC and Scott Seese, dated February 25, 2021.*

Exhibit 10.7 4707 Executive Drive San Diego, CA 92121 February 25, 2021 Scott Seese Managing Director, Chief Information Officer LPL Financial LLC 1055 LPL Way Fort Mill, SC 29715 Re: Leave of absence Dear Scott, Your colleagues at LPL Financial LLC (?LPL,? ?we? or the ?Company?) extend their thoughts as you care for your family member during this difficult time. As discussed, this letter memorial

Form of Financial Institution Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan*

Exhibit 10.6 Name: [?] Number of Restricted Stock Units: [?] Date of Grant: [?] FINANCIAL INSTITUTION STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to a

Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan*

Exhibit 10.4 Name: [?] Target Number of PSUs: [?] Date of Grant: [?] EMPLOYEE PERFORMANCE STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to and subject t

Form of Employee Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan*

Exhibit 10.3 Name: [?] Number of Restricted Stock Units: [?] Date of Grant: [?] EMPLOYEE RESTRICTED STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to and

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL F

Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan*

Exhibit 10.5 Name: [?] Number of Restricted Stock Units: [?] Date of Grant: [?] ADVISOR RESTRICTED STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to and

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2021 LPL Financial Holdings Inc.

LPL Financial Announces Third Quarter 2021 Results

Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (813) 351-9203 investor.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Financ

Form of Financial Institution Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan*

Exhibit 10.6 Name: [?] Number of Restricted Stock Units: [?] Date of Grant: [?] FINANCIAL INSTITUTION STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to a

Form of Employee Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan (incorporated by reference to the Form 10-Q filed on August 3, 2021, File No. 001-34963).

Exhibit 10.3 Name: [?] Number of Restricted Stock Units: [?] Date of Grant: [?] EMPLOYEE RESTRICTED STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to and

Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan (incorporated by reference to the Form 10-Q filed on August 3, 2021, File No. 001-34963).

Exhibit 10.4 Name: [?] Target Number of PSUs: [?] Date of Grant: [?] EMPLOYEE PERFORMANCE STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to and subject t

Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan*

Exhibit 10.5 Name: [?] Number of Restricted Stock Units: [?] Date of Grant: [?] ADVISOR RESTRICTED STOCK UNIT AWARD granted under the LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN This agreement (the ?Agreement?) evidences the grant of an award by LPL Financial Holdings Inc., a Delaware corporation (the ?Company?), to the individual named above (the ?Participant?) pursuant to and

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2021 LPL Financial Holdings Inc.

GREG GATES NAMED MANAGING DIRECTOR, CHIEF TECHNOLOGY & INFORMATION OFFICER FOR LPL FINANCIAL

Exhibit 99.1 For Immediate Release GREG GATES NAMED MANAGING DIRECTOR, CHIEF TECHNOLOGY & INFORMATION OFFICER FOR LPL FINANCIAL CHARLOTTE, N.C. ? July 30, 2021 ? LPL Financial LLC announced today that Greg Gates has been named managing director and Chief Technology & Information Officer, effective immediately. In this role, Gates will oversee all aspects of the firm?s technology and systems applic

LPL Financial Announces Second Quarter 2021 Results

Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (813) 351-9203 investor.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2021 LPL Financial Holdings Inc.

Regulation FD Disclosure

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 2, 2021 LPL Financial Holdings Inc.

Indenture, dated as of May 18, 2021, among LPL Holdings, U.S. Bank National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors (incorporated by reference to the Form 8-K filed on May 18, 2021, File No. 001-34963).

Exhibit 4.1 Execution Version INDENTURE Dated as of May 18, 2021 Among LPL HOLDINGS, INC., THE GUARANTORS NAMED ON THE SIGNATURE PAGES HERETO and U.S. BANK NATIONAL ASSOCIATION, as Trustee 4.375% SENIOR NOTES DUE 2031 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS Section 1.01 Definitions 1 Section 1.02 Other Definitions 50 Section 1.03 Rules of Construction 50 Section 1.04 Acts of Holders 51 Sectio

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 18, 2021 LPL Financial Holdings Inc.

LPL FINANCIAL ANNOUNCES COMPLETION OF SENIOR UNSECURED NOTES OFFERING

Exhibit 99.1 Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (980) 321-1232 LPL FINANCIAL ANNOUNCES COMPLETION OF SENIOR UNSECURED NOTES OFFERING SAN DIEGO ? May 18, 2021 ? LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that its wholly owned subsidiary, LPL Holdings, Inc. (?LPL Holdings?), has completed its previously anno

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2021 LPL Financial Holdings Inc.

LPL FINANCIAL ANNOUNCES PRICING OF SENIOR UNSECURED NOTES OFFERING

Exhibit 99.2 Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (980) 321-1232 LPL FINANCIAL ANNOUNCES PRICING OF SENIOR UNSECURED NOTES OFFERING SAN DIEGO ? May 10, 2021 ? LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that its wholly owned subsidiary, LPL Holdings, Inc. (?LPL Holdings?), has priced its offering of $400 mill

LPL FINANCIAL ANNOUNCES PROPOSED SENIOR UNSECURED NOTES OFFERING

Exhibit 99.1 Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (980) 321-1232 investor.lpl.com/contact-us LPL FINANCIAL ANNOUNCES PROPOSED SENIOR UNSECURED NOTES OFFERING SAN DIEGO ? May 10, 2021 ? LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that its wholly owned subsidiary, LPL Holdings, Inc. (?LPL Holdings?), intends to

- S-8 POS

As filed with the Securities and Exchange Commission on May 7, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 POST-EFFECTIVE AMENDMENT NO.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2021 LPL Financial Holdings Inc.

LPL Financial Holdings Inc. 2021 Employee Stock Purchase Plan (Incorporated by reference to the Form 8-K filed on May 5, 2021).

EX-10.2 3 d249750dex102.htm EX-10.2 Exhibit 10.2 LPL FINANCIAL HOLDINGS INC. 2021 EMPLOYEE STOCK PURCHASE PLAN 1. Defined Terms Exhibit A, which is incorporated by reference, defines the terms used in the Plan and sets forth certain operational rules related to those terms. 2. Purpose of Plan The Plan is intended to enable Eligible Employees to use payroll deductions to purchase shares of Stock in

LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed on May 5, 2021 (File No. 001-34963)).

Exhibit 10.1 LPL FINANCIAL HOLDINGS INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN 1. DEFINED TERMS Exhibit A, which is incorporated by reference, defines certain terms used in the Plan and includes certain operational rules related to those terms. 2. PURPOSE The Plan has been established to advance the interests of the Company by providing for the grant to Participants of Stock and Stock-based Awards. 3

- S-8

As filed with the Securities and Exchange Commission on May 5, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 LPL Financial Holdings Inc.

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Finan

BETA Services First Amended and Restated Master Subscription Agreement, dated as of January 29, 2021, between LPL Financial LLC and Refinitiv US LLC (incorporated by reference to the Form 10-Q filed on May 4, 2021, File No. 001-34963).†

Exhibit 10.2 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [**], HAS BEEN OMITTED BECAUSE IT IS NOT MATERIAL AND IS THE TYPE THAT LPL FINANCIAL HOLDINGS INC. TREATS AS PRIVATE OR CONFIDENTIAL BETA SERVICES FIRST AMENDED AND RESTATED MASTER SUBSCRIPTION AGREEMENT This BETA Services First Amended and Restated Master Subscription Agreement (this ?Agreement?) is entered into b

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 30, 2021 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-34963 20-3717839 (State or other jurisdiction of incorporation) (Commiss

LPL FINANCIAL CLOSES ACQUISITION OF WADDELL & REED’S WEALTH MANAGEMENT BUSINESS

EX-99.1 Exhibit 99.1 Investor Relations – Chris Koegel, (617) 897-4574 For Immediate Release Media Relations – Lauren Hoyt-Williams, (813) 351-9203 investor.lpl.com/contact-us LPL FINANCIAL CLOSES ACQUISITION OF WADDELL & REED’S WEALTH MANAGEMENT BUSINESS SAN DIEGO – April 30, 2021 – LPL Financial Holdings Inc. (Nasdaq: LPLA) (the “Company”), the parent corporation of LPL Financial LLC, a leading

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2021 LPL Financial Holdings Inc.

LPL Financial Announces First Quarter 2021 Results

Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (813) 351-9203 investor.

Regulation FD Disclosure

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2021 LPL Financial Holdings Inc.

- DEF 14A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin

Fifth Amendment, dated March 15, 2021, among LPL Financial Holdings Inc., LPL Holdings, Inc., certain subsidiaries of the Company, as Subsidiary Guarantors (as defined therein), the Incremental Revolving Lenders (as defined therein), JPMorgan Chase Bank, N.A., as administrative agent and collateral agent, letter of credit issuer and swingline lender, and the lenders and parties party thereto from time to time (incorporated by reference to the Form 8-K filed on March 15, 2021, File No. 001-34963).

Exhibit 10.1 Execution Version FIFTH AMENDMENT dated as of March 15, 2021 among LPL FINANCIAL HOLDINGS INC., as Holdings, LPL HOLDINGS, INC., as Borrower, CERTAIN SUBSIDIARIES OF LPL FINANCIAL HOLDINGS INC., as Subsidiary Guarantors, THE INCREMENTAL REVOLVING LENDERS PARTY HERETO, JPMORGAN CHASE BANK, N.A., as Administrative Agent, JPMORGAN CHASE BANK, N.A. CITIBANK, N.A. US BANK NATIONAL ASSOCIAT

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2021 LPL Financial Holdings Inc.

LPL FINANCIAL ANNOUNCES COMPLETION OF LEVERAGE-NEUTRAL TRANSACTION AMENDING SENIOR SECURED CREDIT FACILITIES AND OFFERING SENIOR UNSECURED NOTES

Exhibit 99.1 Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (980) 321-1232 LPL FINANCIAL ANNOUNCES COMPLETION OF LEVERAGE-NEUTRAL TRANSACTION AMENDING SENIOR SECURED CREDIT FACILITIES AND OFFERING SENIOR UNSECURED NOTES SAN DIEGO ? March 15, 2021 ? LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that its wholly owned subsi

Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors (incorporated by reference to the Form 8-K filed on March 15, 2021, File No. 001-34963).

Exhibit 4.1 Execution Version INDENTURE Dated as of March 15, 2021 Among LPL HOLDINGS, INC., THE GUARANTORS NAMED ON THE SIGNATURE PAGES HERETO and U.S. BANK NATIONAL ASSOCIATION, as Trustee 4.000% SENIOR NOTES DUE 2029 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS Section 1.01 Definitions 1 Section 1.02 Other Definitions 49 Section 1.03 Rules of Construction 50 Section 1.04 Acts of Holders 51 Sect

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 4, 2021 LPL Financial Holdings Inc.

LPL FINANCIAL ANNOUNCES PRICING OF SENIOR UNSECURED NOTES OFFERING

Exhibit 99.2 Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (980) 321-1232 LPL FINANCIAL ANNOUNCES PRICING OF SENIOR UNSECURED NOTES OFFERING SAN DIEGO ? March 4, 2021 ? LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that its wholly owned subsidiary, LPL Holdings, Inc. (?LPL Holdings?), has priced its offering of $900 mil

LPL FINANCIAL ANNOUNCES PROPOSED LEVERAGE-NEUTRAL TRANSACTION TO REFINANCE ITS SENIOR UNSECURED NOTES

Exhibit 99.1 Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations ? Lauren Hoyt-Williams, (980) 321-1232 investor.lpl.com/contact-us LPL FINANCIAL ANNOUNCES PROPOSED LEVERAGE-NEUTRAL TRANSACTION TO REFINANCE ITS SENIOR UNSECURED NOTES SAN DIEGO ? March 4, 2021 ? LPL Financial Holdings Inc. (Nasdaq: LPLA) today announced that its wholly owned subsidiary, LPL Holdi

Annual Report - 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34963 LPL Financial Holdings Inc

LPL Financial Holdings Inc. 2012 Employee Stock Purchase Plan, as amended and restated, effective as of October 29

Exhibit 10.25 LPL FINANCIAL HOLDINGS INC. 2012 EMPLOYEE STOCK PURCHASE PLAN (as amended and restated effective as of October 29, 2019) Section 1. Defined Terms Exhibit A, which is incorporated by reference, defines the terms used in the Plan and sets forth certain operational rules related to those terms. Section 2. Purpose of Plan The Plan is intended to enable Eligible Employees of LPL and its S

BETAHost Master Subscription Agreement dated as of January 5, 2009 between LPL Financial Corporation and Refinitiv US LLC (f/k/a Thomson Financial LLC), as amended. (incorporated by reference to the Form 10-K filed on February

Exhibit 10.24 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [**], HAS BEEN OMITTED BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM TO LPL FINANCIAL HOLDINGS INC. IF PUBLICLY DISCLOSED Thomson Transaction Services MASTER SUBSCRIPTION AGREEMENT This Master Subscription Agreement (this ?Agreement?) is entered into by and between Thomson Transaction Services

List of Subsidiaries of LPL Financial Holdings Inc.*

Exhibit 21.1 Subsidiaries of Registrant Subsidiary Entity Name Jurisdiction of Incorporation Name Under Which the Subsidiary Does Business 1. LPL Holdings, Inc.** Massachusetts LPL 2. PTC Holdings, Inc.** Ohio PTC 3. The Private Trust Company, N.A. Ohio PTC 4. LPL Financial LLC California LPL, LPL Financial 5. LPL Insurance Associates, Inc. Delaware LPL, LPL Financial 6. Fortigent Holdings Company

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2021 LPL Financial Holdings Inc.

253496-1 LPL FINANCIAL ANNOUNCES MANAGING DIRECTOR SCOTT SEESE TO TAKE PERSONAL LEAVE OF ABSENCE CHARLOTTE, N.C. – February 16, 2021 – LPL Financial LLC, a leading retail investment advisory firm, registered investment advisor (RIA) custodian and ind

253496-1 LPL FINANCIAL ANNOUNCES MANAGING DIRECTOR SCOTT SEESE TO TAKE PERSONAL LEAVE OF ABSENCE CHARLOTTE, N.

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 15, 2021 LPL Financial Holdings Inc.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 6)*

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 6)* Name of issuer: LPL Financial Holdings Inc. Title of Class of Securities: Common Stock CUSIP Number: 50212V100 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is

SCHEDULE 13G

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* LPL Financial Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 50212V100 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t

LPL Financial Holdings Inc. Condensed Consolidated Statements of Income (In thousands, except per share data) Three Months Ended December 31, Years Ended December 31, 2020 2019 % Change 2020 2019 % Change REVENUES Advisory $ 638,181 $ 533,259 20 % $

Investor Relations - Chris Koegel, (617) 897-4574 For Immediate Release Media Relations - Jeff Mochal, (704) 733-3589 investor.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 4, 2021 LPL Financial Holdings Inc.