LPLA

SEC source: 0001397911-24-000029 · wk-form4_1709082243.xml · nonDerivative · entry 4

Sethi Kabir · CIK 0001927665 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,487

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.

F4 · 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 $267.51, 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 3

Sethi Kabir · CIK 0001927665 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,810

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.

F3 · 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 (3) to this Form 4.

SEC source: 0001397911-24-000029 · wk-form4_1709082243.xml · nonDerivative · entry 2

Sethi Kabir · CIK 0001927665 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 11,472

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.

F2 · 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 $263.76, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

SEC source: 0001397911-24-000023 · wk-form4_1709080921.xml · nonDerivative · entry 4

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,495

F3 · 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 20, 2023.

F4 · balance_after: Consists of (i) 7,211 shares of Common Stock; (ii) 507 restricted stock units that vest in full on February 25, 2025; (iii) 988 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: 0001397911-24-000021 · wk-form4_1709080424.xml · nonDerivative · entry 1

Brown Althea · CIK 0001992638 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,190

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 February 25, 2025, February 25, 2026 and February 25, 2027. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F2 · balance_after: Consists of (i) 4,319 restricted stock units that vest ratably on each of September 12, 2024, September 12, 2025 and September 12, 2026; and (ii) the restricted stock units reported on this Form 4.

SEC source: 0001397911-24-000025 · wk-form4_1709081472.xml · nonDerivative · entry 3

Gates Greg · CIK 0001877100 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,481

F2 · 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 February 25, 2025, February 25, 2026 and February 25, 2027. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

SEC source: 0001397911-24-000025 · wk-form4_1709081472.xml · nonDerivative · entry 2

Gates Greg · CIK 0001877100 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,155

SEC source: 0001397911-24-000025 · wk-form4_1709081472.xml · nonDerivative · entry 1

Gates Greg · CIK 0001877100 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,319

F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2021. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2023. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award.

SEC source: 0001397911-24-000017 · wk-form4_1709079349.xml · nonDerivative · entry 6

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 173,705.94

F6 · 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 February 25, 2025, February 25, 2026 and February 25, 2027. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

SEC source: 0001397911-24-000017 · wk-form4_1709079349.xml · nonDerivative · entry 5

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 160,953.94

SEC source: 0001397911-24-000017 · wk-form4_1709079349.xml · nonDerivative · entry 4

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 201,968.94

F5 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2021. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2023. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award.

SEC source: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 3

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 19,237

F2 · 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 February 25, 2025, February 25, 2026 and February 25, 2027. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

SEC source: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 16,878

SEC source: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 23,946

F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2021. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2023. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award.

SEC source: 0001397911-24-000031 · wk-form4_1709082796.xml · nonDerivative · entry 3

Steinmeier Richard · CIK 0001750576 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,896

F2 · 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 February 25, 2025, February 25, 2026 and February 25, 2027. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F3 · balance_after: Consists of (i) 20,184 shares of Common Stock; (ii) 871 restricted stock units that vest in full on February 25, 2025; (iii) 1,238 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: 0001397911-24-000031 · wk-form4_1709082796.xml · nonDerivative · entry 2

Steinmeier Richard · CIK 0001750576 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,293

SEC source: 0001397911-24-000031 · wk-form4_1709082796.xml · nonDerivative · entry 1

Steinmeier Richard · CIK 0001750576 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,690

F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2021. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2023. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award.

SEC source: 0001397911-24-000029 · wk-form4_1709082243.xml · nonDerivative · entry 1

Sethi Kabir · CIK 0001927665 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 11,545

SEC source: 0001397911-24-000027 · wk-form4_1709081840.xml · nonDerivative · entry 3

Jambusaria Aneri · CIK 0001966430 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,225

F2 · 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 February 25, 2025, February 25, 2026 and February 25, 2027. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F3 · balance_after: Consists of (i) 2,271 shares of Common Stock; (ii) 298 restricted stock units that vest in full on February 25, 2025; (iii) 518 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: 0001397911-24-000027 · wk-form4_1709081840.xml · nonDerivative · entry 2

Jambusaria Aneri · CIK 0001966430 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,087

SEC source: 0001397911-24-000027 · wk-form4_1709081840.xml · nonDerivative · entry 1

Jambusaria Aneri · CIK 0001966430 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,382

F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2021. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2023. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award.

SEC source: 0001397911-24-000023 · wk-form4_1709080921.xml · nonDerivative · entry 3

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 12,895

F2 · 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 February 25, 2025, February 25, 2026 and February 25, 2027. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

SEC source: 0001397911-24-000023 · wk-form4_1709080921.xml · nonDerivative · entry 2

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 11,106

SEC source: 0001397911-24-000023 · wk-form4_1709080921.xml · nonDerivative · entry 1

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,530

F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2021. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2023. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award.

SEC source: 0001397911-24-000017 · wk-form4_1709079349.xml · derivative · entry 14

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 60,514

Underlying: Common Stock · 7,089 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 3

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 133,168.94

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.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $266.05 to $266.97, 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: 0001397911-24-000017 · wk-form4_1709079349.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 134,990.94

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.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $265.00 to $265.96, 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 · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 140,257.94

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: 0001397911-24-000013 · wk-form4_1708639549.xml · derivative · entry 8

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 67,603

Underlying: Common Stock · 10,000 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 exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2023.

F10 · 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: 0001397911-24-000013 · wk-form4_1708639549.xml · nonDerivative · entry 7

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 133,168.94

F8 · kind: This transaction was a charitable gift of securities by the reporting person.

F9 · balance_after: Consists of (i) 108,770.94 shares of Common Stock; (ii) 4,915 restricted stock units that vest in full on February 25, 2024; (iii) 7,837 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 11,646 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-24-000013 · wk-form4_1708639549.xml · nonDerivative · entry 6

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 137,043.94

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 $259.46 to $259.47, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4.

SEC source: 0001397911-24-000013 · wk-form4_1708639549.xml · nonDerivative · entry 5

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 137,243.94

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.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $257.80 to $258.74, 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: 0001397911-24-000013 · wk-form4_1708639549.xml · nonDerivative · entry 4

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 138,443.94

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.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $256.76 to $257.54, 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: 0001397911-24-000013 · wk-form4_1708639549.xml · nonDerivative · entry 3

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 139,947.94

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.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $255.72 to $256.70, 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: 0001397911-24-000013 · wk-form4_1708639549.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 144,119.94

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.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $254.68 to $255.64, 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 (3) to this Form 4.

SEC source: 0001397911-24-000013 · wk-form4_1708639549.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 147,043.94

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 November 20, 2023.

SEC source: 0001397911-24-000015 · wk-form4_1708640223.xml · derivative · entry 3

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,381 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 exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2023.

F4 · derivative.exercise_date: This option became exercisable in full on the third anniversary of the date on which it was granted.

SEC source: 0001397911-24-000015 · wk-form4_1708640223.xml · nonDerivative · entry 2

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,634

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 November 20, 2023.

F3 · balance_after: Consists of (i) 5,484 shares of Common Stock; (ii) 655 restricted stock units that vest in full on February 25, 2024; (iii) 1,014 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 1,481 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-24-000015 · wk-form4_1708640223.xml · nonDerivative · entry 1

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,015

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

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2023.

SEC source: 0001397911-24-000007 · wk-form4_1707342455.xml · derivative · entry 7

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,704 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 exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2023.

F9 · 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: 0001397911-24-000007 · wk-form4_1707342455.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: 12,644

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 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 $250.69 to $251.22, 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) 8,026 shares of Common Stock; (ii) 1,256 restricted stock units that vest in full on February 25, 2024; (iii) 1,590 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 1,772 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-24-000007 · wk-form4_1707342455.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: 12,856

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 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 $249.63 to $250.59, 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: 0001397911-24-000007 · wk-form4_1707342455.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: 15,003

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 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 $248.61 to $249.58, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4.

SEC source: 0001397911-24-000007 · wk-form4_1707342455.xml · nonDerivative · entry 3

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 24,598

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 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 $247.58 to $248.55, 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 (4) to this Form 4.

SEC source: 0001397911-24-000007 · wk-form4_1707342455.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 39,848

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 2, 2023.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $245.71 to $246.19, 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: 0001397911-24-000007 · wk-form4_1707342455.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 40,348

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

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2023.

SEC source: 0000899243-23-020687 · doc4.xml · nonDerivative · entry 21

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,546.8345

F1 · kind: On December 22, 2023, the reporting person transferred 1,628 shares of LPLA common stock to eleven trusts for the reporting person's grandchildren. The reporting person is a co-trustee of the trusts, and each of the reporting person's grandchildren is the sole beneficiary of their respective trust. The reporting person remains the beneficial owner of the securities held by the trusts.

SEC source: 0000899243-23-020687 · doc4.xml · nonDerivative · entry 19

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,694.8345

F1 · kind: On December 22, 2023, the reporting person transferred 1,628 shares of LPLA common stock to eleven trusts for the reporting person's grandchildren. The reporting person is a co-trustee of the trusts, and each of the reporting person's grandchildren is the sole beneficiary of their respective trust. The reporting person remains the beneficial owner of the securities held by the trusts.

SEC source: 0000899243-23-020687 · doc4.xml · nonDerivative · entry 17

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,842.8345

F1 · kind: On December 22, 2023, the reporting person transferred 1,628 shares of LPLA common stock to eleven trusts for the reporting person's grandchildren. The reporting person is a co-trustee of the trusts, and each of the reporting person's grandchildren is the sole beneficiary of their respective trust. The reporting person remains the beneficial owner of the securities held by the trusts.

SEC source: 0000899243-23-020687 · doc4.xml · nonDerivative · entry 15

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,990.8345

F1 · kind: On December 22, 2023, the reporting person transferred 1,628 shares of LPLA common stock to eleven trusts for the reporting person's grandchildren. The reporting person is a co-trustee of the trusts, and each of the reporting person's grandchildren is the sole beneficiary of their respective trust. The reporting person remains the beneficial owner of the securities held by the trusts.