LPL Financial is an investment advisor in Fort Mill with $368.02 bn assets under management.
Company profile
Employees
Incorporated
Fiscal year end
SEC CIK
IRS number
952834236
SEC advisor number
801-10970
FINRA CRD number
6413
AUM ?
$368.02 bn
(as of 17 May 23)
Accounts
1,688,501
(as of 17 May 23)
Employees
31,366
(25961 investment advisory or research)
Office hours
Monday - Friday, 8:30AM - 6:00PM
Brochures
- LPL Third Party Co-advisory Omp Program Brochure A12-R (31 Mar 23)
- Guided Wealth Portfolios (31 Mar 23)
- LPL Third Party Co-advisory MWP Program Brochure A11-R (31 Mar 23)
- LPL Custom Co-advisory MS Program Brochure MS302-EQH (31 Mar 23)
- LPL Sam I and Sam II Program Brochure A7 (31 Mar 23)
- LPL Retirement Plan Programs Brochure A15 (31 Mar 23)
- LPL Firm Brochure A58 (31 Mar 23)
- LPL Custom Co-advisory Omp Program Brochure A12-EQH (31 Mar 23)
- LPL Custom Co-advisory MWP Program Brochure A11-EQH (31 Mar 23)
- LPL PWP Program Brochure A9 (31 Mar 23)
- LPL Omp Program Brochure A12 (31 Mar 23)
- LPL MWP Program Brochure A11 (31 Mar 23)
- LPL Third Party Co-advisory Mas Program Brochure MS302-R (31 Mar 23)
- LPL Custom Co-advisory Sam I and Sam II Program Brochure A7-EQH (31 Mar 23)
- LPL Third Party Co-advisory PWP Program Brochure A9-R (31 Mar 23)
- LPL MS Program Brochure MS302 (31 Mar 23)
- Bank Wealth Program (31 Mar 23)
- LPL Custom Co-advisory PWP Program Brochure A9-EQH (31 Mar 23)
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
LPL Holdings, Inc. | Managing Member | 04/1989 | > 75% |
LPL Financial Holdings Inc. | Parent Company | 12/2005 | > 75% |
Arnold, Dan Hogan JR | President, Chief Executive Officer and Director | 01/2017 | < 5% |
Larsen, Sallie Rebecca | Managing Director, Chief Human Capital Officer | 05/2012 | < 5% |
Oroschakoff, Michelle | Managing Director, Chief Legal Officer and Director | 04/2018 | < 5% |
Audette, Matthew Jon | Managing Director, Chief Financial Officer and Chief Accounting Officer | 09/2015 | < 5% |
Steinmeier, Richard C | Managing Director and Divisional President, Business Development | 08/2018 | < 5% |
Enyedi, Matthew Klaus | Managing Director, National Sales | 01/2020 | < 5% |
Ricketts, Judith Kohoskie | Executive Vice President, Operations and Principal Operations Officer | 11/2020 | < 5% |
Gates, Gregory | Managing Director, Chief Information Officer | 07/2021 | < 5% |
Seffinger, Mark Lawrence | SVP, Chief Compliance Officer | 12/2021 | < 5% |
Simonich, Brent Blain | Executive Vice President, Chief Risk Officer | 04/2022 | < 5% |
Sethi, Kabir | Managing Director, Chief Product Officer | 05/2022 | < 5% |
Jambusaria, Aneri | Managing Director LPL Services Group | 01/2022 | < 5% |
Robbins, Jonathan | Senior Vice President, Chief Compliance Officer Advisory | 12/2022 | < 5% |
Mitchell, Christopher Mills | SVP, Finance Capital Management and Principal Financial Officer | 04/2023 | < 5% |
Latest filings (excl ownership)
TA-W
Notice of withdrawal from registration as transfer agent
10 Nov 20
TA-1/A
Registration as a transfer agent (amended)
7 Oct 20
TA-1/A
Registration as a transfer agent (amended)
15 Jul 20
TA-1/A
Registration as a transfer agent (amended)
15 May 20
TA-2
Annual report of transfer agent activities
22 Apr 20
TA-1/A
Registration as a transfer agent (amended)
16 Mar 20
TA-1/A
Registration as a transfer agent (amended)
28 Aug 19
TA-1/A
Registration as a transfer agent (amended)
8 Aug 19
TA-1/A
Registration as a transfer agent (amended)
12 Jun 19
TA-1/A
Registration as a transfer agent (amended)
6 Jun 19
Latest ownership filings
No filings