LPLA

SEC source: 0001397911-22-000005 · wf-form4_164444374393960.xml · nonDerivative · entry 5

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,393

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $182.89 to $183.26, 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 sold at each separate price within the range set forth in this footnote (6) to this Form 4.

F7 · balance_after: Consists of (i) 4,059 shares of Common Stock; (ii) 1,433 restricted stock units that vest in full on February 25, 2022; (iii) 3,134 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 3,767 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024.

SEC source: 0001397911-22-000005 · wf-form4_164444374393960.xml · nonDerivative · entry 4

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,414

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.77 to $182.73, 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 sold at each separate price within the range set forth in this footnote (5) to this Form 4.

SEC source: 0001397911-22-000005 · wf-form4_164444374393960.xml · nonDerivative · entry 3

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,061

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.59 to $181.58, 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 sold at each separate price within the range set forth in this footnote (4) to this Form 4.

SEC source: 0001397911-22-000005 · wf-form4_164444374393960.xml · nonDerivative · entry 2

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,271

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.59 to $180.57, 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 sold at each separate price within the range set forth in this footnote (3) to this Form 4.

SEC source: 0001397911-22-000005 · wf-form4_164444374393960.xml · nonDerivative · entry 1

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,393

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 exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2021.

SEC source: 0001397911-22-000007 · wf-form4_164444444028586.xml · derivative · entry 10

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,969

Underlying: Common Stock · 5,940 shares

Expires 2029-02-25

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.

F8 · derivative.exercise_date: This option became exercisable as to 2,970 shares on each of February 25, 2020 and February 25, 2021, and will become exercisable as to the remaining 2,969 shares on February 25, 2022.

SEC source: 0001397911-22-000007 · wf-form4_164444444028586.xml · derivative · entry 9

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,448 shares

Expires 2028-02-23

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.

F7 · derivative.exercise_date: This option became exercisable in three installments, beginning February 23, 2019, which was the first anniversary of the date on which it was granted. The option became fully vested on February 23, 2021.

SEC source: 0001397911-22-000007 · wf-form4_164444444028586.xml · derivative · entry 8

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 64,980 shares

Expires 2026-02-25

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.

F6 · derivative.exercise_date: This option became exercisable in three installments, beginning February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019.

SEC source: 0001397911-22-000007 · wf-form4_164444444028586.xml · nonDerivative · entry 7

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,628

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $182.60 to $183.15, 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 sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F5 · balance_after: Consists of (i) 41,215 shares of Common Stock; (ii) 988 restricted stock units that vest in full on February 25, 2022; (iii) 1,968 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 2,457 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024.

SEC source: 0001397911-22-000007 · wf-form4_164444444028586.xml · nonDerivative · entry 6

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,162

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.59 to $182.55, 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 sold at each separate price within the range set forth in this footnote (3) to this Form 4.

SEC source: 0001397911-22-000007 · wf-form4_164444444028586.xml · nonDerivative · entry 5

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,077

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.59 to $181.58, 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 sold at each separate price within the range set forth in this footnote (2) to this Form 4.

SEC source: 0001397911-22-000007 · wf-form4_164444444028586.xml · nonDerivative · entry 4

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,812

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.59 to $180.58, 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 sold at each separate price within the range set forth in this footnote (1) to this Form 4.

SEC source: 0001397911-22-000007 · wf-form4_164444444028586.xml · nonDerivative · entry 3

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,996

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.

SEC source: 0001397911-22-000007 · wf-form4_164444444028586.xml · nonDerivative · entry 2

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,056

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.

SEC source: 0001397911-22-000007 · wf-form4_164444444028586.xml · nonDerivative · entry 1

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,608

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.

SEC source: 0001397911-21-000205 · wf-form4_163943484250685.xml · nonDerivative · entry 1

Gates Greg · CIK 0001877100 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,506

F1 · balance_after: Consists of (i) 12,536 shares of Common Stock; (ii) 532 restricted stock units that vest in full on February 25, 2022; (iii) 1,470 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; (iv) 2,999 restricted stock units that vest ratably on each of June 5, 2022 and June 5, 2023; and (v) 2,969 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024.

SEC source: 0001397911-21-000202 · wf-form4_163908731907804.xml · derivative · entry 5

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,930 shares

Expires 2027-03-13

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.

F4 · derivative.exercise_date: This option became exercisable in three installments, beginning on March 13, 2018, which was the first anniversary of the date on which it was granted. The option became fully vested on March 13, 2020.

SEC source: 0001397911-21-000202 · wf-form4_163908731907804.xml · derivative · entry 4

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,341 shares

Expires 2025-06-10

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.

F3 · derivative.exercise_date: This option became exercisable in three installments, beginning on June 10, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on June 10, 2018.

SEC source: 0001397911-21-000202 · wf-form4_163908731907804.xml · nonDerivative · entry 3

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,628

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $165.83 to $166.42, 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 sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · balance_after: Consists of (i) 41,215 shares of Common Stock; (ii) 988 restricted stock units that vest in full on February 25, 2022; (iii) 1,968 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 2,457 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024.

SEC source: 0001397911-21-000202 · wf-form4_163908731907804.xml · nonDerivative · entry 2

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,899

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.

SEC source: 0001397911-21-000202 · wf-form4_163908731907804.xml · nonDerivative · entry 1

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,969

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.

SEC source: 0001397911-21-000190 · wf-form4_163839492550852.xml · nonDerivative · entry 3

Fandrey Edward · CIK 0001842672 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,658

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2021.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $159.66 to $159.80, 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 sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F5 · balance_after: Consists of (i) 100 shares of Common Stock; (ii) 13,955 restricted stock units that vest in five installments as follows: 1,953 restricted stock units on each of February 25, 2022, May 25, 2022, August 25, 2022 and November 25, 2022; and 6,143 restricted stock units on February 25, 2023; and (iii) 3,603 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024.

SEC source: 0001397911-21-000190 · wf-form4_163839492550852.xml · nonDerivative · entry 2

Fandrey Edward · CIK 0001842672 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,929

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2021.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $158.53 to $159.47, 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 sold at each separate price within the range set forth in this footnote (3) to this Form 4.

SEC source: 0001397911-21-000190 · wf-form4_163839492550852.xml · nonDerivative · entry 1

Fandrey Edward · CIK 0001842672 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,559

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $157.47 to $158.45, 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 sold at each separate price within the range set forth in this footnote (2) to this Form 4.

SEC source: 0001397911-21-000188 · wf-form4_163839459726903.xml · nonDerivative · entry 2

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,209

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: 0001397911-21-000188 · wf-form4_163839459726903.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,202

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 17, 2022. 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 17, 2022. 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: 0001397911-21-000192 · wf-form4_163839530928176.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,442

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: 0001397911-21-000192 · wf-form4_163839530928176.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,419

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 17, 2022. 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 17, 2022. 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: 0001397911-21-000196 · wf-form4_163839575262626.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,539.5

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: 0001397911-21-000196 · wf-form4_163839575262626.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,524.5

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 17, 2022. 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 17, 2022. 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: 0001397911-21-000198 · wf-form4_163839597793752.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,925.8345

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: 0001397911-21-000198 · wf-form4_163839597793752.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,895.8345

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 17, 2022. 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 17, 2022. 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: 0001397911-21-000186 · wf-form4_163839400020201.xml · nonDerivative · entry 2

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,869

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: 0001397911-21-000186 · wf-form4_163839400020201.xml · nonDerivative · entry 1

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,863

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 17, 2022. 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 17, 2022. 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: 0001397911-21-000194 · wf-form4_163839555817868.xml · nonDerivative · entry 2

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,078

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: 0001397911-21-000194 · wf-form4_163839555817868.xml · nonDerivative · entry 1

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,074

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 17, 2022. 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 17, 2022. 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: 0001397911-21-000200 · wf-form4_163839620741301.xml · nonDerivative · entry 2

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,093

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: 0001397911-21-000200 · wf-form4_163839620741301.xml · nonDerivative · entry 1

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,083

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 17, 2022. 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 17, 2022. 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: 0001397911-21-000184 · wf-form4_163796146947859.xml · nonDerivative · entry 1

Fandrey Edward · CIK 0001842672 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,442

F1 · balance_after: Consists of (i) 1,884 shares of Common Stock; (ii) 13,955 restricted stock units that vest in five installments as follows: 1,953 restricted stock units on February 25, 2022, May 25, 2022, August 25, 2022 and November 25, 2022; and 6,143 restricted stock units on February 25, 2023; and (iii) 3,603 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024.

SEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · derivative · entry 8

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,160

Underlying: Common Stock · 8,691 shares

Expires 2026-02-25

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 June 14, 2021.

F9 · derivative.exercise_date: This option became exercisable in three installments, beginning on February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019.

SEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · derivative · entry 7

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,309 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 June 14, 2021.

F8 · 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: 0001397911-21-000182 · wf-form4_163727204467218.xml · nonDerivative · entry 6

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,197.1482

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.26 to $169.94, 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 sold at each separate price within the ranges set forth in this footnote (6) to this Form 4.

F7 · balance_after: Consists of (i) 23,767.15 shares of Common Stock; (ii) 853 restricted stock units that vest in full on February 25, 2022; (iii) 2,038 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 2,539 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024.

SEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · nonDerivative · entry 5

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,127.1482

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.24 to $169.12, 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 sold at each separate price within the ranges set forth in this footnote (5) to this Form 4.

SEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · nonDerivative · entry 4

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,127.1482

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $167.20 to $168.11, 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 sold at each separate price within the ranges set forth in this footnote (4) to this Form 4.

SEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · nonDerivative · entry 3

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,597.1482

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $166.07 to $166.98, 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 sold at each separate price within the ranges set forth in this footnote (3) to this Form 4.

SEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · nonDerivative · entry 2

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,207.1482

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 June 14, 2021.

SEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · nonDerivative · entry 1

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,516.1482

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 June 14, 2021.

SEC source: 0001397911-22-000009 · wf-form4_164487368039717.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,443.94

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

SEC source: 0001397911-21-000174 · wf-form4_163121990798405.xml · nonDerivative · entry 1

Steinmeier Richard · CIK 0001750576 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,166

F1 · balance_after: Consists of (i) 3,799 shares of Common Stock; (ii) 7,537 restricted stock units that vest in full on September 7, 2022; (iii) 816 restricted stock units that vest in full on February 25, 2022; (iv) 2,755 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (v) 4,259 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024.

SEC source: 0001397911-21-000162 · wf-form4_163044793624226.xml · nonDerivative · entry 2

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,201

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.