Notice of Proposed Sale · 144
LPL Financial Holdings Inc.
LPLANASDAQEQUITYCurrent
Notice of Proposed Sale
Structured filing — 144
primary_doc.xml
Notice of proposed sale. The proposed amounts below do not establish that a sale occurred.
Proposed-sale notice
- Issuer
- LPL Financial Holdings Inc.
- Issuer CIK
- 0001397911
- SEC file number
- 001-34963
- Phone
- 800-877-7210
- Person for whose account securities are to be sold
- Gates Greg
- Relationships to issuer
- Officer
- Street
- 4707 EXECUTIVE DRIVE
- City
- SAN DIEGO
- State / country code
- CA
- Postal code
- 92121
Securities proposed for sale
| Security | Proposed units | Aggregate market value | Units outstanding | Approximate sale date | Exchange | Broker / market maker |
|---|---|---|---|---|---|---|
| Common | 4,119 | 1,463,810.16 | 78,742,290 | 08/20/2026 | NASDAQ | Fidelity Brokerage Services LLC |
Broker / market maker — proposed row 1, entry 1
- Name
- Fidelity Brokerage Services LLC
- Street
- 900 Salem Street
- City
- Smithfield
- State / country code
- RI
- Postal code
- 02917
Acquisition of securities to be sold
| Security | Acquired | Nature of acquisition | Acquired from | Amount acquired | Gift transaction | Payment date | Nature of payment |
|---|---|---|---|---|---|---|---|
| Common | 08/20/2026 | Stock Option Exercise | Issuer | 4,119 | N | 08/20/2026 | Cash |
Prior-sale reporting
- Nothing to report for the preceding three months
- Y
Notice signature
- Notice date
- 08/20/2026
- Signed
- /s/ Adam Gehring, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Gregory S. Gates
Company context
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.