LPLA

SEC source: 0001397911-20-000215 · wf-form4_160696088650948.xml · nonDerivative · entry 2

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,249

F2 · shares: Represents stock units granted under the 2010 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: 0001397911-20-000215 · wf-form4_160696088650948.xml · nonDerivative · entry 1

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,246

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 4, 2021. 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 4, 2021. 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: 0001397911-20-000221 · wf-form4_160696175951600.xml · nonDerivative · entry 2

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,457

F2 · shares: Represents stock units granted under the 2010 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: 0001397911-20-000221 · wf-form4_160696175951600.xml · nonDerivative · entry 1

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,447

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 4, 2021. 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 4, 2021. 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: 0001397911-20-000218 · wf-form4_160696133152233.xml · nonDerivative · entry 1

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,008

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 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 4, 2021. 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 4, 2021. 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: 0001397911-20-000207 · wf-form4_160633965875692.xml · derivative · entry 3

Larsen Sallie R. · CIK 0001548541 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,815

Underlying: Common Stock · 5,225 shares

Expires 2022-05-30

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 September 10, 2020.

F4 · derivative.exercise_date: This option became exercisable in five installments, beginning May 30, 2013, which was the first anniversary of the date on which it was granted. The option became fully vested on May 30, 2017.

SEC source: 0001397911-20-000207 · wf-form4_160633965875692.xml · nonDerivative · entry 2

Larsen Sallie R. · CIK 0001548541 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,455

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 September 10, 2020.

F3 · balance_after: Consists of (i) 13,118 shares of Common Stock; (ii) 764 restricted stock units that vest in full on February 23, 2021; (iii) 1,296 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 2,277 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023.

SEC source: 0001397911-20-000207 · wf-form4_160633965875692.xml · nonDerivative · entry 1

Larsen Sallie R. · CIK 0001548541 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,680

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 September 10, 2020.

SEC source: 0001397911-20-000205 · wf-form4_160565998813724.xml · nonDerivative · entry 1

Larsen Sallie R. · CIK 0001548541 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,455

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 10, 2020.

F2 · balance_after: Consists of (i) 13,118 shares of Common Stock; (ii) 764 restricted stock units that vest in full on February 23, 2021; (iii) 1,296 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 2,277 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023.

SEC source: 0001397911-20-000203 · wf-form4_160531288221990.xml · derivative · entry 3

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,802

Underlying: Common Stock · 4,000 shares

Expires 2024-02-24

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 June 11, 2020.

F4 · derivative.exercise_date: This option became exercisable in three installments, beginning February 24, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on February 24, 2017.

SEC source: 0001397911-20-000203 · wf-form4_160531288221990.xml · nonDerivative · entry 2

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,857.1482

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 June 11, 2020.

F3 · balance_after: Consists of (i) 14,076.15 shares of Common Stock; (ii) 1,018 restricted stock units that vest in full on February 23, 2021; (iii) 1,706 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 3,057 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023.

SEC source: 0001397911-20-000203 · wf-form4_160531288221990.xml · nonDerivative · entry 1

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,857.1482

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 exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020.

SEC source: 0001397911-20-000197 · wf-form4_160522007192843.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,594

Underlying: Common Stock · 2,239 shares

Expires 2024-02-24

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 10, 2020.

F5 · derivative.exercise_date: This option became exercisable in three installments, beginning February 24, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on February 24, 2017.

SEC source: 0001397911-20-000197 · wf-form4_160522007192843.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,653 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 10, 2020.

F4 · derivative.exercise_date: This option became exercisable in three installments, beginning 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: 0001397911-20-000197 · wf-form4_160522007192843.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,158.94

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 June 10, 2020.

F3 · balance_after: Consists of (i) 171,738.94 shares of Common Stock; (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and February 13, 2022; and (iii) 14,547 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023.

SEC source: 0001397911-20-000197 · wf-form4_160522007192843.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,050.94

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 10, 2020.

SEC source: 0001397911-20-000197 · wf-form4_160522007192843.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,811.94

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 10, 2020.

SEC source: 0001397911-20-000199 · wf-form4_160522047215716.xml · nonDerivative · entry 7

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,835

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 August 10, 2020.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.44 to $89.52, 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 (7) to this Form 4.

F8 · balance_after: Consists of (i) 5,559 shares of Common Stock; (ii) 1,709 restricted stock units that vest in full on February 23, 2021; (iii) 2,866 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 4,701 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023.

SEC source: 0001397911-20-000199 · wf-form4_160522047215716.xml · nonDerivative · entry 6

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,035

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 August 10, 2020.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.41 to $89.35, 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.

SEC source: 0001397911-20-000199 · wf-form4_160522047215716.xml · nonDerivative · entry 5

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,335

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 August 10, 2020.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.36 to $88.35, 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: 0001397911-20-000199 · wf-form4_160522047215716.xml · nonDerivative · entry 4

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,235

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 August 10, 2020.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.36 to $87.35, 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: 0001397911-20-000199 · wf-form4_160522047215716.xml · nonDerivative · entry 3

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,835

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 August 10, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.23 to $86.16, 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: 0001397911-20-000199 · wf-form4_160522047215716.xml · nonDerivative · entry 2

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,235

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 August 10, 2020.

SEC source: 0001397911-20-000201 · wf-form4_160522071422260.xml · nonDerivative · entry 1

Steinmeier Richard · CIK 0001750576 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,837

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2020.

F2 · balance_after: Consists of (i) 15,072 restricted stock units that vest ratably on each of September 7, 2021 and September 7, 2022; (ii) 1,633 restricted stock units that vest ratably on each of February 25,2021 and February 25, 2022; and (iii) 4,132 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023.

SEC source: 0001397911-20-000186 · wf-form4_159968378733856.xml · nonDerivative · entry 1

Steinmeier Richard · CIK 0001750576 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,821

F1 · balance_after: Consists of (i) 3,984 shares of Common Stock; (ii) 15,072 restricted stock units that vest ratably on each of September 7, 2021 and September 7, 2022; (iii) 1,633 restricted stock units that vest ratably on each of February 25,2021 and February 25, 2022; and (iv) 4,132 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023.

SEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,833

Underlying: Common Stock · 200 shares

Expires 2024-02-24

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 10, 2020.

F7 · derivative.exercise_date: This option became exercisable in three installments, beginning February 24, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on February 24, 2017.

SEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,653

Underlying: Common Stock · 800 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 10, 2020.

F6 · derivative.exercise_date: This option became exercisable in three installments, beginning 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: 0001397911-20-000184 · wf-form4_159959705566495.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,158.94

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 10, 2020.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.13 to $85.64, 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) 171,738.94 shares of Common Stock; (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and February 13, 2022; and (iii) 14,547 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023.

SEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,158.94

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 10, 2020.

SEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,958.94

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 10, 2020.

SEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,033

Underlying: Common Stock · 200 shares

Expires 2024-02-24

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 10, 2020.

F7 · derivative.exercise_date: This option became exercisable in three installments, beginning February 24, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on February 24, 2017.

SEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,453

Underlying: Common Stock · 756 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 10, 2020.

F6 · derivative.exercise_date: This option became exercisable in three installments, beginning 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: 0001397911-20-000184 · wf-form4_159959705566495.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,158.94

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 10, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.18 to $85.62, 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: 0001397911-20-000184 · wf-form4_159959705566495.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,114.94

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 10, 2020.

SEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,914.94

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 10, 2020.

SEC source: 0001397911-20-000172 · wf-form4_159899958530803.xml · nonDerivative · entry 2

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,110

F2 · shares: Represents stock units granted under the 2010 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: 0001397911-20-000172 · wf-form4_159899958530803.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,103

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 4, 2021. 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 4, 2021. 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: 0001397911-20-000178 · wf-form4_159900046560519.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,390.5

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive 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 Issuer's Non-Employee Director Deferred Compensation Plan (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: 0001397911-20-000174 · wf-form4_159899985357945.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,710

F2 · shares: Represents stock units granted under the 2010 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: 0001397911-20-000174 · wf-form4_159899985357945.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,671

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 4, 2021. 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 4, 2021. 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: 0001397911-20-000180 · wf-form4_159900074913708.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,144.8345

F2 · shares: Represents stock units granted under the 2010 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: 0001397911-20-000180 · wf-form4_159900074913708.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,089.8345

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 4, 2021. 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 4, 2021. 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: 0001397911-20-000170 · wf-form4_159899931314961.xml · nonDerivative · entry 2

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,239

F2 · shares: Represents stock units granted under the 2010 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: 0001397911-20-000170 · wf-form4_159899931314961.xml · nonDerivative · entry 1

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,235

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 4, 2021. 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 4, 2021. 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: 0001397911-20-000182 · wf-form4_159900104626318.xml · nonDerivative · entry 2

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,440

F2 · shares: Represents stock units granted under the 2010 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: 0001397911-20-000182 · wf-form4_159900104626318.xml · nonDerivative · entry 1

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,427

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 4, 2021. 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 4, 2021. 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: 0001397911-20-000176 · wf-form4_159900015893861.xml · nonDerivative · entry 1

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,001

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 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 4, 2021. 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 4, 2021. 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: 0001397911-20-000162 · wf-form4_159735860906435.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,209

Underlying: Common Stock · 400 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 10, 2020

F6 · derivative.exercise_date: This option became exercisable in three installments, beginning 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: 0001397911-20-000162 · wf-form4_159735860906435.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,158.94

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 June 10, 2020.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.00 to $85.13, 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) 171,738.94 shares of Common Stock; (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and February 13, 2022; and (iii) 14,547 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023.

SEC source: 0001397911-20-000162 · wf-form4_159735860906435.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,558.94

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 10, 2020