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Removed:
accommodating, achievement, affluent, allocate, Ameritrade, analytical, appointed, asserted, attributable, Boyce, chairman, Clark, closure, committed, comparative, compensate, complementary, Concord, conservative, conversely, deductible, delegated, DePaul, derecognition, derecognized, Deutsche, disqualifying, downturn, dually, Dwyer, empowered, expensed, eze, force, ii, immaterial, improvement, inconsistent, Indiana, ineffective, integration, IPO, isolation, lieu, limitation, limiting, location, Lynch, makeup, Merrill, NestWise, noncompliance, offsetting, permissible, phase, preferential, prepaid, prescribe, pro, purport, Reconciling, refinanced, release, relying, reposition, returning, scrutinize, Scudder, Separation, shown, simplify, sought, source, Stanford, stemming, submitted, substitute, supervising, sustainable, TD, tool, underlie, Uniform, unsafe, unsound, utilization, Veritat, wirehouse
Filing tables
Filing exhibits
- 10-K Annual report
- 10.13 Form of Employee Stock Option Award
- 10.14 Form of Employee Restricted Stock Unit Award
- 10.19 Executive Severance Plan, Amended and Restated As of February 23, 2017
- 10.21 Form of Employee Performance Stock Unit Award
- 10.22 Non-employee Director Compensation Policy
- 21.1 Subsidiaries of the Registrant
- 23.1 Consent of Independent Registered Public Accounting Firm
- 31.1 CEO Certification Pursuant to Section 302
- 31.2 CFO Certification Pursuant to Section 302
- 32.1 CEO Certification Pursuant to Section 906
- 32.2 CFO Certification Pursuant to Section 906
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Exhibit 32.1
CERTIFICATION PURSUANT TO
18 U.S.C. SECTION 1350,
AS ADOPTED PURSUANT TO
SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002
In connection with the Annual Report on Form 10-K of LPL Financial Holdings Inc. (the “Company”) for the period ending December 31, 2016 as filed with the Securities and Exchange Commission (“SEC”) on the date hereof (the “Report”), I, Dan H. Arnold, Chief Executive Officer of the Company, certify, pursuant to 18 U.S.C. 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002, that:
| 1) | The Report fully complies with the requirements of section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended; and |
| 2) | The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company. |
A signed original of this written statement has been provided to the Company and will be retained by the Company and furnished to the SEC or its staff upon request.
Date: February 24, 2017
| /s/ Dan H. Arnold | |||
| Dan H. Arnold | |||
President and Chief Executive Officer | |||