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Material updates from SEC filings (8-K, 10-Q, 10-K) ranked by impact, with no firehose noise.
Results of Operations and Financial Condition. On April 30, 2026, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three months ended March 31, 2026. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise s…
Results of Operations and Financial Condition. On January 29, 2026, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three and twelve months ended December 31, 2025. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. On January 5, 2026, Somesh Khanna was elected as a director of LPL Financial Holdings Inc. (the “Company”) by the Company’s board of directors (the “Board”), effective immediately. The Board has determined that Mr. Khanna is independent under applicable listing standards of the Nasdaq Stock Market. Mr. Khanna will be entitled to a pro-rated annual…
Results of Operations and Financial Condition. On October 30, 2025, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three months ended September 30, 2025. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or other…
Other Events. On August 1, 2025, the Company, acting through its wholly owned subsidiary, LPL Holdings, Inc., a Massachusetts corporation, completed its previously announced acquisition of Commonwealth.
Regulation FD Disclosure. On August 1, 2025, LPL Financial Holdings Inc. (the “ Company ”) issued a press release announcing the acquisition of CFN Holding Company, LLC, a Massachusetts limited liability company (“ Commonwealth ”). A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “ Exchange Act ”), or otherwise subject to t…
Results of Operations and Financial Condition. On July 31, 2025, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three months ended June 30, 2025. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise sub…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. As previously disclosed, on May 3, 2025, Althea Brown submitted her resignation as the Chief Legal Officer and Corporate Secretary of LPL Financial Holdings Inc. (the “Company”). On July 2, 2025, the Company entered into a Consulting Agreement (the “Consulting Agreement”) with Ms. Brown pursuant to which she agreed to provide certain consulting ser…
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. On May 30, 2025, Althea Brown submitted her resignation as the Chief Legal Officer and Corporate Secretary of LPL Financial Holdings Inc. (the “Company”) effective June 30, 2025, when she will depart the Company. Ms. Brown has expressed to the Company’s leadership that she has made the personal decision to take a career break after more than 28 yea…
Results of Operations and Financial Condition. On May 8, 2025, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three months ended March 31, 2025. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subj…
Entry into a Material Definitive Agreement. Issuance of 4.900% Senior Notes due 2028, 5.150% Senior Notes due 2030 and 5.750% Senior Notes due 2035 On April 3, 2025, LPL Holdings, Inc. (the “Company”), a wholly-owned subsidiary of LPL Financial Holdings Inc. (the “Guarantor”), completed the issuance and sale of $500,000,000 aggregate principal amount of 4.900% Senior Notes due 2028 (the “2028 Notes”), $500,000,000 aggregate principal amount of 5.150% Senior Notes due 2030 (the “2030 Notes”) a…
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant. The information set forth above under
Regulation FD Disclosure. On March 31, 2025, the Company issued a press release announcing the Transaction. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. In addition, on March 31, 2025, the Company posted a presentation to its website titled “Acquisition of Commonwealth Financial Network”. A copy of the presentation is furnished with this Form 8-K and attached hereto as Exhibit 99.2. Exhibits 99.1 and 99.2 shall not be deemed “filed” for purp…
Entry into a Material Definitive Agreement. On March 28, 2025, LPL Financial Holdings Inc., a Delaware corporation (the “ Company ”), acting through its wholly owned subsidiary, LPL Holdings, Inc., a Delaware corporation (“ LPL Holdings ”), entered into an Equity Purchase Agreement (the “ Purchase Agreement ”) with Gratitude Holdings, Inc., a Massachusetts corporation (“ Gratitude ”), Odd Couple, Inc., a Massachusetts corporation (“ Odd Couple ” and, together with Gratitude, the “ Sellers ”)…
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