LPL Financial Holdings, Inc. serves independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow their practices. It provide objective financial guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. The company was founded in 1989 and is headquartered in San Diego, CA.
Company profile
Website
CEO
Dan Hogan Arnold
Employees
Incorporated
Location
Fiscal year end
Sector
Former names
Linsco/Private Ledger Corp., LPL Financial CORP
SEC CIK
IRS number
952834236
SEC advisor number
801-10970
FINRA CRD number
6413
AUM ?
$159.10 bn
(as of 10 Oct 19)
Accounts
786,525
(as of 10 Oct 19)
Employees
22,790
(15717 investment advisory or research)
Address
LPL Financial
4707 EXECUTIVE DRIVE
SAN DIEGO
CA 92121
4707 EXECUTIVE DRIVE
SAN DIEGO
CA 92121
Phone
704-733-3300
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)
Latest filings (excl ownership)
No filings
Latest ownership filings
13F-HR
Quarterly holdings report by institutional manager
31 Jul 23
13F-HR
Quarterly holdings report by institutional manager
10 May 23
13F-HR
Quarterly holdings report by institutional manager
7 Feb 23
SC 13G
MACQUARIE/FIRST TRUST GLOBAL INFRASTR/UTIL DIV & INC FUND
3 Feb 23
SC 13G
FIRST TRUST/ABRDN GLOBAL OPPORTUNITY INCOME FUND
3 Feb 23
SC 13G
FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND
3 Feb 23
SC 13G/A
FIRST TRUST SENIOR FLOATING RATE INCOME FUND II
17 Jan 23
SC 13G/A
Destra Multi-Alternative Fund
17 Jan 23
SC 13G/A
NUVEEN FLOATING RATE INCOME FUND
17 Jan 23
13F-HR
Quarterly holdings report by institutional manager
14 Nov 22