LPLA

SEC source: 0001397911-23-000143 · wk-form4_1693347633.xml · nonDerivative · entry 1

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,781

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 8, 2024. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000137 · wk-form4_1693346917.xml · nonDerivative · entry 2

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,712

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000137 · wk-form4_1693346917.xml · nonDerivative · entry 1

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,707

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 8, 2024. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000145 · wk-form4_1693946002.xml · derivative · entry 5

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,381

Underlying: Common Stock · 650 shares

Expires 2025-03-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2023.

F5 · derivative.exercise_date: This option became exercisable in full on the third anniversary of the date on which it was granted.

SEC source: 0001397911-23-000145 · wk-form4_1693946002.xml · derivative · entry 4

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,615 shares

Expires 2025-03-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2023.

F4 · derivative.exercise_date: This option became exercisable in three installments, beginning on March 6, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on March 6, 2018.

SEC source: 0001397911-23-000145 · wk-form4_1693946002.xml · nonDerivative · entry 3

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,978

F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2023.

F3 · balance_after: Consists of (i) 6,828 shares of Common Stock; (ii) 655 restricted stock units that vest in full on February 25, 2024; (iii) 1,014 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 1,481 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-23-000145 · wk-form4_1693946002.xml · nonDerivative · entry 2

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,243

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2023.

SEC source: 0001397911-23-000145 · wk-form4_1693946002.xml · nonDerivative · entry 1

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 12,593

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2023.

SEC source: 0001397911-23-000119 · wk-form4_1689193307.xml · nonDerivative · entry 1

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 145,883.94

F1 · kind: This transaction was a charitable gift of securities by the reporting person.

F2 · balance_after: Consists of (i) 121,485.94 shares of Common Stock; (ii) 4,915 restricted stock units that vest in full on February 25, 2024; (iii) 7,837 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 11,646 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-23-000117 · wk-form4_1686690777.xml · nonDerivative · entry 1

Gates Greg · CIK 0001877100 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,381

F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of June 12, 2024, June 12, 2025 and June 12, 2026. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F2 · balance_after: Consists of (i) 19,959 shares of Common Stock; (ii) 990 restricted stock units that vest in full on February 25, 2024; (iii) 1,372 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; (iv) 1,528 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026; and (v) the restricted stock units reported in this Form 4.

SEC source: 0001397911-23-000113 · wk-form4_1686169486.xml · nonDerivative · entry 1

Gates Greg · CIK 0001877100 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,849

F1 · balance_after: Consists of (i) 19,959 shares of Common Stock; (ii) 990 restricted stock units that vest in full on February 25, 2024; (iii) 1,372 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 1,528 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-23-000115 · wk-form4_1686169778.xml · nonDerivative · entry 1

Jambusaria Aneri · CIK 0001966430 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,732

F1 · balance_after: Consists of (i) 1,930 shares of Common Stock; (ii) 430 restricted stock units that vest in full on February 25, 2024; (iii) 596 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 776 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-23-000101 · wk-form4_1685997146.xml · nonDerivative · entry 2

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,983

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000101 · wk-form4_1685997146.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,974

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 8, 2024. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000107 · wk-form4_1685998230.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,253.5

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000107 · wk-form4_1685998230.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,236.5

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 8, 2024. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000103 · wk-form4_1685997588.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,190

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000103 · wk-form4_1685997588.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,165

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 8, 2024. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000109 · wk-form4_1685998567.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,122.8345

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000109 · wk-form4_1685998567.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,090.8345

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 8, 2024. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000099 · wk-form4_1685996724.xml · nonDerivative · entry 2

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,536

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000099 · wk-form4_1685996724.xml · nonDerivative · entry 1

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,528

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 8, 2024. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000111 · wk-form4_1685998874.xml · nonDerivative · entry 2

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,780

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000111 · wk-form4_1685998874.xml · nonDerivative · entry 1

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,768

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 8, 2024. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000105 · wk-form4_1685997925.xml · nonDerivative · entry 2

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,706

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000105 · wk-form4_1685997925.xml · nonDerivative · entry 1

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,700

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 8, 2024. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000092 · wf-form4_168426758497549.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,973

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy.

SEC source: 0001397911-23-000093 · wf-form4_168426759990112.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,235.5

F2 · shares: The reporting person elected to receive these shares, which were granted under the 2021 Plan, in lieu of the cash portion of the annual retainer under the Policy.

SEC source: 0001397911-23-000093 · wf-form4_168426759990112.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,729.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy").

SEC source: 0001397911-23-000094 · wf-form4_168426762014464.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,164

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. These stock units are subject to a written deferral election under the DDCP pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy.

SEC source: 0001397911-23-000094 · wf-form4_168426762014464.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,658

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP") pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy").

SEC source: 0001397911-23-000095 · wf-form4_168426763769413.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,089.8345

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. These stock units are subject to a written deferral election under the DDCP pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy.

SEC source: 0001397911-23-000095 · wf-form4_168426763769413.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,583.8345

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP") pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy").

SEC source: 0001397911-23-000090 · wf-form4_168426753591732.xml · nonDerivative · entry 2

MULCAHY ANNE M · CIK 0001201725 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,384

F2 · shares: The reporting person elected to receive these shares, which were granted under the 2021 Plan, in lieu of the cash portion of the annual retainer under the Policy.

SEC source: 0001397911-23-000090 · wf-form4_168426753591732.xml · nonDerivative · entry 1

MULCAHY ANNE M · CIK 0001201725 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,878

F1 · shares: These shares represent restricted stock that was granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan") pursuant to the Issuer's Non-Employee Director Compensation Policy (the"Policy"). This restricted stock is scheduled to vest in full on May 8, 2024.

SEC source: 0001397911-23-000096 · wf-form4_168426766261144.xml · nonDerivative · entry 2

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,527

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. These stock units are subject to a written deferral election under the DDCP pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy.

SEC source: 0001397911-23-000096 · wf-form4_168426766261144.xml · nonDerivative · entry 1

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,021

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP") pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy").

SEC source: 0001397911-23-000097 · wf-form4_168426768461373.xml · nonDerivative · entry 2

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,767

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. These stock units are subject to a written deferral election under the DDCP pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy.

SEC source: 0001397911-23-000097 · wf-form4_168426768461373.xml · nonDerivative · entry 1

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,261

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP") pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy").

SEC source: 0001397911-23-000091 · wf-form4_168426756353151.xml · nonDerivative · entry 1

Ko Albert J · CIK 0001960503 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 957

F1 · shares: These shares represent restricted stock that was granted under the Issuer's 2021 Omnibus Equity Incentive Plan pursuant to the Issuer's Non-Employee Director Compensation Policy. This restricted stock is scheduled to vest in full on May 8, 2024.

SEC source: 0001397911-23-000089 · wf-form4_168426751899298.xml · nonDerivative · entry 1

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,699

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy.

SEC source: 0001397911-23-000076 · wf-form4_168366672339430.xml · nonDerivative · entry 1

Sethi Kabir · CIK 0001927665 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,737

F1 · balance_after: Consists of (i) 2,189 shares of Common Stock; (ii) 8,072 restricted stock units that vest ratably on each of May 6, 2024 and May 6, 2025; and (iii) 1,476 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-23-000074 · wf-form4_168328947450630.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Spouse's Trust

Disclosed balance after: 2,775

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased at prices ranging from $179.89 to $180.42, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · ownership.nature: The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0001397911-23-000063 · wf-form4_168253976012257.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,189

F1 · kind: The Reporting Person made a transfer to irrevocable trusts, of which the Reporting Person is not the trustee or beneficiary.

SEC source: 0001397911-23-000051 · wf-form4_168020727559824.xml · nonDerivative · entry 2

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,059

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000051 · wf-form4_168020727559824.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,051

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 10, 2023. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000057 · wf-form4_168020770340133.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,945.5

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000057 · wf-form4_168020770340133.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,929.5

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 10, 2023. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000053 · wf-form4_168020743573244.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,874

F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

SEC source: 0001397911-23-000053 · wf-form4_168020743573244.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,851

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 10, 2023. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.