LPLA

SEC source: 0001397911-18-000009 · wf-form4_151804433896633.xml · derivative · entry 5

Morrissey William P. Jr. · CIK 0001606128 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2018-02-05

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.

F5 · derivative.exercise_date: This option became exercisable in five equal installments, beginning on February 5, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on February 5, 2013.

SEC source: 0001397911-18-000009 · wf-form4_151804433896633.xml · nonDerivative · entry 4

Morrissey William P. Jr. · CIK 0001606128 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,541

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $62.79 to $63.38, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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.

F4 · balance_after: Consists of (i) 5,831 shares of Common Stock; (ii) 666 restricted stock units that vest in full on March 6, 2018; (iii) 4,465 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 3,468 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-18-000009 · wf-form4_151804433896633.xml · nonDerivative · entry 3

Morrissey William P. Jr. · CIK 0001606128 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,244

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $61.71 to $62.67, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc. ("Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4.

SEC source: 0001397911-18-000009 · wf-form4_151804433896633.xml · nonDerivative · entry 2

Morrissey William P. Jr. · CIK 0001606128 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,941

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 December 6, 2017.

SEC source: 0001397911-18-000009 · wf-form4_151804433896633.xml · nonDerivative · entry 1

Morrissey William P. Jr. · CIK 0001606128 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,541

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: 0001397911-18-000007 · wf-form4_151804380246367.xml · derivative · entry 5

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2018-06-10

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.

F6 · derivative.exercise_date: This option became exercisable in five installments, beginning on June 10, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on June 10, 2013.

SEC source: 0001397911-18-000007 · wf-form4_151804380246367.xml · nonDerivative · entry 4

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,050

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $63.04 to $63.38, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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.

F5 · balance_after: Consists of (i) 9,570 shares of Common Stock; (ii) 856 restricted stock units that vest in full on March 6, 2018; (iii) 1,541 restricted stock units that vest in full on March 6, 2018; (iv) 5,526 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (v) 3,111 restricted stock units that vest in full on February 25, 2019; (vi) 3,253 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; and (vii) 4,193 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-18-000007 · wf-form4_151804380246367.xml · nonDerivative · entry 3

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,550

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $62.04 to $63.03, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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: 0001397911-18-000007 · wf-form4_151804380246367.xml · nonDerivative · entry 2

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,650

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 November 28, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $60.57 to $61.36, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc. ("Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4.

SEC source: 0001397911-18-000007 · wf-form4_151804380246367.xml · nonDerivative · entry 1

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,050

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: 0001397911-18-000002 · wf-form4_151553622200207.xml · derivative · entry 3

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,500 shares

Expires 2018-02-12

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 · derivative.exercise_date: This option became exercisable in three equal installments, beginning on February 12, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on February 12, 2011.

SEC source: 0001397911-18-000002 · wf-form4_151553622200207.xml · nonDerivative · entry 1

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,221

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: 0001397911-17-000196 · wf-form4_151199481090170.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,237.5

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: 0001397911-17-000196 · wf-form4_151199481090170.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,203.5

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 18, 2018. 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"), 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 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: 0001397911-17-000194 · wf-form4_151199399474843.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,219

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, pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy. 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: 0001397911-17-000194 · wf-form4_151199399474843.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,210

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 18, 2018. 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"), 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"). 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: 0001397911-17-000200 · wf-form4_151199547170163.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,450.8345

F3 · 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: 0001397911-17-000200 · wf-form4_151199547170163.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,416.8345

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 18, 2018. 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"), 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 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.

F2 · balance_after: Includes 196.834499 shares acquired under the Issuer's Dividend Reinvestment Plan.

SEC source: 0001397911-17-000198 · wf-form4_151199510744835.xml · nonDerivative · entry 1

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,721

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: 0001397911-17-000192 · wf-form4_151199350256088.xml · nonDerivative · entry 2

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,488

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: 0001397911-17-000192 · wf-form4_151199350256088.xml · nonDerivative · entry 1

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,454

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 18, 2018. 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"), 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 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: 0001397911-17-000190 · wf-form4_151095485557147.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,742 shares

Expires 2018-02-05

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 five installments, beginning on February 5, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on February 5, 2013.

SEC source: 0001397911-17-000190 · wf-form4_151095485557147.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,970.94

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 August 23, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.29 to $48.85, 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 (2) to this Form 4.

F3 · balance_after: Consists of (i) 183,838.94 shares of Common Stock; (ii) 1,206 restricted stock units that vest on March 6, 2018; (iii) 8,006 restricted stock units that vest ratably on February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13, 2022.

SEC source: 0001397911-17-000190 · wf-form4_151095485557147.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,712.94

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.

SEC source: 0001397911-17-000188 · wf-form4_150974373024579.xml · nonDerivative · entry 1

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,426.1482

F1 · balance_after: Includes 109.770888 shares acquired under the Issuer's Dividend Reinvestment Plan.

F2 · balance_after: Consists of (i) 7,057.1482 shares of Common Stock; (ii) 767 restricted stock units that vest in full on March 6, 2018; (iii) 922 restricted stock units that vest in full on March 6, 2018; (iv) 2,928 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (v) 3,111 restricted stock units that vest in full on February 25, 2019; and (vi) 3,641 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000186 · wf-form4_150957233466310.xml · nonDerivative · entry 1

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,414

F1 · balance_after: Consists of (i) 8,834 shares of Common Stock; (ii) 7,686 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 5,867 restricted stock units that vest in full on October 30, 2018; and (v) 7,916 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000176 · wf-form4_150473335692509.xml · nonDerivative · entry 1

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,526.3773

F1 · balance_after: Consists of (i) 6,755.377293 shares of Common Stock; (ii) 402 restricted stock units that vest in full on November 1, 2017; (iii) 767 restricted stock units that vest in full on March 6, 2018; (iv) 922 restricted stock units that vest in full on March 6, 2018; (v) 2,928 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (vi) 3,111 restricted stock units that vest in full on February 25, 2019; and (vii) 3,641 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000168 · wf-form4_150397003546757.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,187.5

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, pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy. 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: 0001397911-17-000168 · wf-form4_150397003546757.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,149.5

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 18, 2018. 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"), 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"). 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: 0001397911-17-000174 · wf-form4_150397073693419.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,194

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, pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy. 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: 0001397911-17-000174 · wf-form4_150397073693419.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,184

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 18, 2018. 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"), 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"). 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: 0001397911-17-000172 · wf-form4_150397053136323.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,204

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, pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy. 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: 0001397911-17-000172 · wf-form4_150397053136323.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,166

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 18, 2018. 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"), 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"). 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: 0001397911-17-000170 · wf-form4_150397030815027.xml · nonDerivative · entry 1

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,696

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"), pursuant to which the reporting person elected to defer receipt of the cash and equity portions of the annual retainer under the Issuer's Non-Employee Director Compensation Policy. 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: 0001397911-17-000166 · wf-form4_150396979004803.xml · nonDerivative · entry 2

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,438

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, pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy. 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: 0001397911-17-000166 · wf-form4_150396979004803.xml · nonDerivative · entry 1

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,400

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 18, 2018. 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"), 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"). 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: 0001397911-17-000164 · wf-form4_150369756307197.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,742

Underlying: Common Stock · 17,985 shares

Expires 2018-02-05

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.

F2 · derivative.exercise_date: This option became exercisable in five equal installments, beginning on February 5, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on February 5, 2013.

SEC source: 0001397911-17-000164 · wf-form4_150369756307197.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,970.94

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 · balance_after: Consists of (i) 183,838.94 shares of Common Stock; (ii) 1,206 restricted stock units that vest on March 6, 2018; (iii) 8,006 restricted stock units that vest ratably on February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13, 2022.

SEC source: 0001397911-17-000162 · wf-form4_150352346577552.xml · nonDerivative · entry 1

Seese Scott · CIK 0001712038 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,148

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 August 21, 2018 and August 21, 2019. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

SEC source: 0001397911-17-000160 · wf-form4_150222720259661.xml · nonDerivative · entry 1

Gooley Thomas · CIK 0001647085 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,104

F1 · balance_after: Consists of (i) 4,158 shares of Common Stock; (ii) 2,286 restricted stock units that vest in full on August 6, 2018; (iii) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; (v) 1,952 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; and (vi) 5,937 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000149 · wf-form4_149757087525667.xml · nonDerivative · entry 1

Gooley Thomas · CIK 0001647085 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,297

F1 · balance_after: Consists of (i) 3,065 shares of Common Stock; (ii) 4,572 restricted stock units that vest ratably on each of August 6, 2017 and August 6, 2018; (iii) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; (v) 1,952 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; and (vi) 5,937 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000151 · wf-form4_149757116752716.xml · nonDerivative · entry 1

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,050

F1 · balance_after: Consists of (i) 9,570 shares of Common Stock; (ii) 856 restricted stock units that vest in full on March 6, 2018; (iii) 1,541 restricted stock units that vest in full on March 6, 2018; (iv) 5,526 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (v) 3,111 restricted stock units that vest in full on February 25, 2019; (vi) 3,253 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; and (vii) 4,193 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000147 · wf-form4_149738913393185.xml · nonDerivative · entry 1

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,736

F1 · balance_after: Consists of (i) 8,732 shares of Common Stock; (ii) 1,330 restricted stock units that vest in full on March 6, 2018; (iii) 704 restricted stock units that vest in full on June 10, 2018; (iv) 5,307 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (v) 3,111 restricted stock units that vest in full on February 25, 2019; and (vi) 4,552 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000145 · wf-form4_149670792525108.xml · derivative · entry 3

Morrissey William P. Jr. · CIK 0001606128 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,150 shares

Expires 2017-06-07

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 five equal installments, beginning on June 7, 2008, which was the first anniversary of the date on which it was granted. The option became fully vested on June 7, 2012.

SEC source: 0001397911-17-000145 · wf-form4_149670792525108.xml · nonDerivative · entry 2

Morrissey William P. Jr. · CIK 0001606128 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,541

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $39.23 to $39.55, 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 ranges set forth in this footnote (1) to this Form 4.

F2 · balance_after: Consists of (i) 5,831 shares of Common Stock; (ii) 666 restricted stock units that vest in full on March 6, 2018; (iii) 4,465 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 3,468 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000145 · wf-form4_149670792525108.xml · nonDerivative · entry 1

Morrissey William P. Jr. · CIK 0001606128 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,691

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: 0001397911-17-000139 · wf-form4_149618094181673.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,132.5

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"), pursuant to which the reporting person elected to defer receipt of the cash and equity portions of the annual retainer under the Issuer's Non-Employee Director Compensation Policy. 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: 0001397911-17-000143 · wf-form4_149618158739992.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,149

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"), pursuant to which the reporting person elected to defer receipt of the cash and equity portions of the annual retainer under the Issuer's Non-Employee Director Compensation Policy. 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: 0001397911-17-000141 · wf-form4_149618132252553.xml · nonDerivative · entry 1

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,668

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"), pursuant to which the reporting person elected to defer receipt of the cash and equity portions of the annual retainer under the Issuer's Non-Employee Director Compensation Policy. 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: 0001397911-17-000137 · wf-form4_149618062491426.xml · nonDerivative · entry 1

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,383

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"), pursuant to which the reporting person elected to defer receipt of the cash and equity portions of the annual retainer under the Issuer's Non-Employee Director Compensation Policy. 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.