Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LPL Financial Holdings Inc.LPLA · Entity 3160 | Director | August 28, 2026 | September 01, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
LPL Financial Holdings Inc.
Report date August 28, 2026 · Filed September 01, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 135,297.5 |
Reported balance
After 2026-08-28 transaction · row 1
1 source rowRow 1 · 2026-08-28 · Grant · Acquired 7 · Balance 135,297.5 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 03, 2019 Filed Jun 5, 2019 22:33 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 32 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000099 · wf-form4_155977398883303.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,999.5 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| May 09, 2019 Filed May 10, 2019 21:09 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,074 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000083 · wf-form4_155752252753590.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,967.5 F1 · shares: These shares represent restricted stock that was granted under the Issuer's Amended and Restated 2010 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 5, 2020. Read SEC document |
| March 29, 2019 Filed Apr 3, 2019 00:21 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 36 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000053 · wf-form4_155425088223142.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,893.5 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| November 26, 2018 Filed Nov 29, 2018 01:17 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 40 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000205 · wf-form4_154345422305508.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,857.5 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| August 23, 2018 Filed Aug 27, 2018 22:09 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 38 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000176 · wf-form4_153540777490563.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,817.5 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 22:57 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 36 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000140 · wf-form4_152823936353498.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,779.5 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus 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. Read SEC document |
| May 18, 2018 Filed May 22, 2018 22:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,463 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000120 · wf-form4_152702786980567.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,743.5 F1 · shares: These shares represent restricted stock that was granted under the Issuer's Amended and Restated 2010 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 7, 2019. Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 23:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 30 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000077 · wf-form4_152219387492975.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,280.5 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 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. Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 23:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 13 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000077 · wf-form4_152219387492975.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,250.5 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"), which stock units are scheduled to vest in full on May 18, 2018. 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. Read SEC document |
| November 27, 2017 Filed Nov 29, 2017 22:33 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 34 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| November 27, 2017 Filed Nov 29, 2017 22:33 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 16 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 24, 2017 Filed Aug 29, 2017 01:27 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 38 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 24, 2017 Filed Aug 29, 2017 01:27 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 17 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 25, 2017 Filed May 30, 2017 21:49 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 33 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 18, 2017 Filed May 23, 2017 01:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,968 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000131 · wf-form4_149550378770743.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,099.5 F2 · shares: Represents stock units granted under the Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. These stock units are subject to a written deferral election under the Deferred Plan pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy. Read SEC document |
| May 18, 2017 Filed May 23, 2017 01:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 3,199 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000131 · wf-form4_149550378770743.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,131.5 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan ("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. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan ("Deferred Plan") 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 ("Policy"). Read SEC document |
| March 24, 2017 Filed Mar 29, 2017 00:21 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 11 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000089 · wf-form4_149074687452400.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,932.5 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. Read SEC document |
| March 24, 2017 Filed Mar 29, 2017 00:21 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 22 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000089 · wf-form4_149074687452400.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,921.5 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 11, 2017. 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. Read SEC document |
| December 14, 2016 Filed Dec 17, 2016 00:23 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-16-000370 · wf-form4_148193421038264.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,899.5 F2 · 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. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy. Read SEC document |
| December 14, 2016 Filed Dec 17, 2016 00:23 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 3,468 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-16-000370 · wf-form4_148193421038264.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,165.5 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 scheduled to vest in full on May 11, 2017. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.