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LPL Financial Holdings Inc
4707 Executive Drive
Phone: (617) 423-3644p:617 423-3644 SAN DIEGO, CA  92121  United States Ticker: LPLALPLA
Business Summary
LPL Financial Holdings Inc. is an independent broker-dealer and an investment advisory firm company. It offers an integrated platform of brokerage and investment advisory services to independent financial advisors and financial advisors at enterprises in the United States. Through its comprehensive platform, it offers integrated technology solutions; brokerage and advisory platforms; clearing, compliance, business and planning and advice services; consultative practice management programs and training, and in-house research. Through its custody and clearing platform, using both proprietary and third-party technology, it offers access to diversified financial products and services, enabling its advisors to offer personalized financial advice and brokerage services to retail investors. Its products include alternative investments, annuities, exchange-traded products, insurance-based products, mutual funds, and retirement plan products. It also offers wealth management solutions.

Scores and Ratings
FRISK®
Score		 Z''
Score		 PAYCE®
Score		 DBT
Index		 Moody's
Rating		 Fitch
Rating		 DBRS
Rating
Yes--Yes---

Financials, News and Filings
Latest
Statement		 Last
Audit
News		 SEC
Filings		 Bankruptcy
Filings		 Suit &
Judgment
Filings		 Tax
Lien
Filings
9/30/202412/31/2023YesYesYesYesYes

Industries
SIC Code Description
6200 Security and commodity brokers, dealers, exchanges, and services
6211 Security brokers, dealers, and flotation companies
6282 Investment advice
6719 Offices of holding companies, not elsewhere classified

Officers and Directors

Title
Name
Age		 Title
Date		 Start
Date
Independent Non-Executive Chairman of the Board James S.Putnam 69 3/1/2017 12/1/2005
President, Chief Financial Officer Matthew J.Audette 50 10/17/2024 9/28/2015
Chief Executive Officer, Director RichardSteinmeier 50 10/17/2024 8/1/2018
9 additional Officers and Directors records available in full report.

Subsidiaries
Business Name Address City State/Province Country
National Planning Corporation 100 North Sepulveda Boulevard El Segundo CA United States
Crown Capital Securities, L.P. 6224 E Cliffway Dr Orange CA United States
Western International Securities, Inc. 70 South Lake Ave. Pasadena CA United States
18 additional Subsidiary records available in full report.

Business Names
Business Name
7LI
AdvisoryWorld, Inc.
Allegent Community Federal Credit Union
39 additional Business Names available in full report.

General Information
Number of Employees: 8,787 (As of 9/30/2024)
Outstanding Shares: 74,879,579 (As of 10/31/2024)
Shareholders: 871
Stock Exchange: NASD
Federal Tax Id: 203717839
Fax Number: (302) 655-5049


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Wednesday, November 20, 2024