LPLA

SEC source: 0001397911-24-000099 · wk-form4_1718741619.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 142,607.94

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 March 13, 2024.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $277.31 to $277.36, 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.

F4 · balance_after: Consists of (i) 118,172.94 shares of Common Stock; (ii) 3,919 restricted stock units that vest in full on February 25, 2025; (iii) 7,764 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026; and (iv) 12,752 restricted stock units that vest ratably on each of February 25, 2025, February 25, 2026 and February 25, 2027.

SEC source: 0001397911-24-000099 · wk-form4_1718741619.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 148,284.94

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 exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 13, 2024.

SEC source: 0001397911-24-000097 · wk-form4_1718395853.xml · nonDerivative · entry 1

Gates Greg · CIK 0001877100 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,846

F1 · balance_after: Consists of (i) 13,793 shares of Common Stock; (ii) 686 restricted stock units that vest in full on February 25, 2025; (iii) 1,019 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026; (iv) 1,022 restricted stock units that vest ratably on each of June 12, 2025 and June 12, 2026; and (v) 2,326 restricted stock units that vest ratably on each of February 25, 2025, February 25, 2026 and February 25, 2027.

SEC source: 0001397911-24-000095 · wk-form4_1717790738.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 138,284.94

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

F2 · balance_after: Consists of (i) 113,849.94 shares of Common Stock; (ii) 3,919 restricted stock units that vest in full on February 25, 2025; (iii) 7,764 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026; and (iv) 12,752 restricted stock units that vest ratably on each of February 25, 2025, February 25, 2026 and February 25, 2027.

SEC source: 0001397911-24-000082 · wk-form4_1717706540.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,712

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is 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: 0001397911-24-000089 · wk-form4_1717707515.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,004.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is 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: 0001397911-24-000084 · wk-form4_1717706968.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,339

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is 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: 0001397911-24-000091 · wk-form4_1717708001.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,665.8345

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is 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: 0001397911-24-000079 · wk-form4_1717706159.xml · nonDerivative · entry 1

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,259

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is 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: 0001397911-24-000093 · wk-form4_1717708174.xml · nonDerivative · entry 1

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,893

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is 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: 0001397911-24-000087 · wk-form4_1717707301.xml · nonDerivative · entry 1

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,425

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is 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: 0001397911-24-000061 · wk-form4_1715718087.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,706

F1 · shares: These shares represent restricted stock that was granted under the Issuer's 2021 Omnibus Equity Incentive Plan pursuant to the Issuer's Non-Employee Director Compensation Policy. This restricted stock is scheduled to vest in full on May 21, 2025.

SEC source: 0001397911-24-000071 · wk-form4_1715719454.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,994.5

F1 · shares: These shares represent restricted stock that was granted under the Issuer's 2021 Omnibus Equity Incentive Plan pursuant to the Issuer's Non-Employee Director Compensation Policy. This restricted stock is scheduled to vest in full on May 21, 2025.

SEC source: 0001397911-24-000063 · wk-form4_1715718342.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,323

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

SEC source: 0001397911-24-000063 · wk-form4_1715718342.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,945

F1 · shares: These shares represent restricted stock that was granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan") pursuant to the Issuer's Non-Employee Director Compensation Policy (the "Policy"). This restricted stock is scheduled to vest in full on May 21, 2025.

SEC source: 0001397911-24-000073 · wk-form4_1715719786.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,645.8345

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

SEC source: 0001397911-24-000073 · wk-form4_1715719786.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,267.8345

F1 · shares: These shares represent restricted stock that was granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan") pursuant to the Issuer's Non-Employee Director Compensation Policy (the "Policy"). This restricted stock is scheduled to vest in full on May 21, 2025.

SEC source: 0001397911-24-000069 · wk-form4_1715719217.xml · nonDerivative · entry 2

MULCAHY ANNE M · CIK 0001201725 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,461

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

SEC source: 0001397911-24-000069 · wk-form4_1715719217.xml · nonDerivative · entry 1

MULCAHY ANNE M · CIK 0001201725 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,083

F1 · shares: These shares represent restricted stock that was granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan") pursuant to the Issuer's Non-Employee Director Compensation Policy (the "Policy"). This restricted stock is scheduled to vest in full on May 21, 2025.

SEC source: 0001397911-24-000059 · wk-form4_1715717850.xml · nonDerivative · entry 1

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,254

F1 · shares: These shares represent restricted stock that was granted under the Issuer's 2021 Omnibus Equity Incentive Plan pursuant to the Issuer's Non-Employee Director Compensation Policy. This restricted stock is scheduled to vest in full on May 21, 2025.

SEC source: 0001397911-24-000075 · wk-form4_1715720122.xml · nonDerivative · entry 2

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,885

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

SEC source: 0001397911-24-000075 · wk-form4_1715720122.xml · nonDerivative · entry 1

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,507

F1 · shares: These shares represent restricted stock that was granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan") pursuant to the Issuer's Non-Employee Director Compensation Policy (the "Policy"). This restricted stock is scheduled to vest in full on May 21, 2025.

SEC source: 0001397911-24-000067 · wk-form4_1715718956.xml · nonDerivative · entry 1

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,421

F1 · shares: These shares represent restricted stock that was granted under the Issuer's 2021 Omnibus Equity Incentive Plan pursuant to the Issuer's Non-Employee Director Compensation Policy. This restricted stock is scheduled to vest in full on May 21, 2025.

SEC source: 0001397911-24-000065 · wk-form4_1715718591.xml · nonDerivative · entry 1

Ko Albert J · CIK 0001960503 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,656

F1 · shares: These shares represent restricted stock that was granted under the Issuer's 2021 Omnibus Equity Incentive Plan pursuant to the Issuer's Non-Employee Director Compensation Policy. This restricted stock is scheduled to vest in full on May 21, 2025.

SEC source: 0001397911-24-000035 · wk-form4_1711657141.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,007

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is 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: 0001397911-24-000041 · wk-form4_1711658115.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,295.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is 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: 0001397911-24-000037 · wk-form4_1711657457.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,246

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is 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: 0001397911-24-000043 · wk-form4_1711658427.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,568.8345

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is 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: 0001397911-24-000033 · wk-form4_1711656639.xml · nonDerivative · entry 1

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,555

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is 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: 0001397911-24-000045 · wk-form4_1711658727.xml · nonDerivative · entry 1

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,808

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is 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: 0001397911-24-000039 · wk-form4_1711657763.xml · nonDerivative · entry 1

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,722

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is 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: 0001397911-24-000025 · wk-form4_1709081472.xml · nonDerivative · entry 8

Gates Greg · CIK 0001877100 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,080

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $267.77 to $268, 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) 13,517 shares of Common Stock; (ii) 686 restricted stock units that vest in full on February 25, 2025; (iii) 1,019 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026; (iv) 1,532 restricted stock units that vest ratably on each of June 12, 2024, June 12, 2025 and June 12, 2026; and (v) the restricted stock units reported on this Form 4.

SEC source: 0001397911-24-000025 · wk-form4_1709081472.xml · nonDerivative · entry 7

Gates Greg · CIK 0001877100 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,787

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $266.56 to $267.50, 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: 0001397911-24-000025 · wk-form4_1709081472.xml · nonDerivative · entry 6

Gates Greg · CIK 0001877100 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,271

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $265.56 to $266.55, 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 (5) to this Form 4.

SEC source: 0001397911-24-000025 · wk-form4_1709081472.xml · nonDerivative · entry 5

Gates Greg · CIK 0001877100 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,094

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $264.53 to $264.95, 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: 0001397911-24-000025 · wk-form4_1709081472.xml · nonDerivative · entry 4

Gates Greg · CIK 0001877100 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,268

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $262.87 to $263.56, 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: 0001397911-24-000017 · wk-form4_1709079349.xml · derivative · entry 15

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 57,603

Underlying: Common Stock · 2,911 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.

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 November 20, 2023.

F14 · derivative.exercise_date: This option became exercisable in three installments, beginning 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: 0001397911-24-000017 · wk-form4_1709079349.xml · nonDerivative · entry 13

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 141,809.94

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 November 20, 2023.

F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $267.43 to $268.25, 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 (12) to this Form 4.

F13 · balance_after: Consists of (i) 117,374.94 shares of Common Stock; (ii) 3,919 restricted stock units that vest in full on February 25, 2025; (iii) 7,764 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026; and (iv) the restricted stock units reported on this Form 4.

SEC source: 0001397911-24-000017 · wk-form4_1709079349.xml · nonDerivative · entry 12

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 150,220.94

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 November 20, 2023.

F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $266.42 to $267.36, 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 (11) to this Form 4.

SEC source: 0001397911-24-000017 · wk-form4_1709079349.xml · nonDerivative · entry 11

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 161,726.94

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 November 20, 2023.

F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $265.42 to $266.41, 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 (10) to this Form 4.

SEC source: 0001397911-24-000017 · wk-form4_1709079349.xml · nonDerivative · entry 10

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 174,116.94

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 November 20, 2023.

F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $264.38 to $265.25, 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 (9) to this Form 4.

SEC source: 0001397911-24-000017 · wk-form4_1709079349.xml · nonDerivative · entry 9

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 175,316.94

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 November 20, 2023.

F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $263.36 to $264.11, 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 range set forth in this footnote (8) to this Form 4.

SEC source: 0001397911-24-000017 · wk-form4_1709079349.xml · nonDerivative · entry 8

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 176,116.94

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 November 20, 2023.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $262.32 to $262.92, 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.

SEC source: 0001397911-24-000017 · wk-form4_1709079349.xml · nonDerivative · entry 7

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 176,616.94

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 November 20, 2023.

SEC source: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 8

Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,663

F3 · 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 2, 2023.

F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $267.33 to $268.16, 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 (8) to this Form 4.

F9 · balance_after: Consists of (i) 9,327 shares of Common Stock; (ii) 795 restricted stock units that vest in full on February 25, 2025; (iii) 1,182 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026; and (iv) the restricted stock units reported on this Form 4.

SEC source: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 7

Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,978

F3 · 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 2, 2023.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $266.28 to $267.23, 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.

SEC source: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 6

Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 17,591

F3 · 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 2, 2023.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $265.26 to $266.18, 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: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 5

Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 18,810

F3 · 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 2, 2023.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $264.19 to $264.53, 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: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 4

Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 19,110

F3 · 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 2, 2023.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $262.87 to $263.56, 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: 0001397911-24-000029 · wk-form4_1709082243.xml · nonDerivative · entry 5

Sethi Kabir · CIK 0001927665 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,245

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 November 20, 2023.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $267.58 to $268.25, 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.

F6 · balance_after: Consists of (i) 1,189 shares of Common Stock; (ii) 8,072 restricted stock units that vest ratably on each of May 6, 2024 and May 6, 2025; and (iii) 984 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026.