Insiders · LPLA

LPLA insider transactions

LPL Financial Holdings Inc. (LPLA) Form 4 insider transactions - real-time wire coverage of every officer, director, and 10% owner trade.

LPLA insiders

Everyone who has filed a Form 3, 4, 5 or 144 at LPL Financial Holdings Inc., latest first. Follow anyone to get their next filing.

• Katharine ReepingPrincipal Accounting Officer, since February 2025-$153K
• Emily FieldGroup Managing Director, since August 2025
• Corey E. ThomasDirector
• Richard P SchifterDirector
• James S PutnamDirector
• Allison MnookinDirector
• William Francis Glavin JrDirector+$449K
• Paulett EberhartDirector
• Edward C BernardDirector
• Aneri JambusariaGroup Managing Director, since February 2023-$942K
• Greg GatesGroup Managing Director-$7.79M
• Matthew EnyediGroup Managing Director-$6.29M
• Marc Eliot CohenGroup Managing Director, since December 2024-$402K
• Anne M MulcahyDirector
• Albert J KoDirector, since January 2023
• Somesh KhannaDirector, since January 2026
• Matthew J AudettePresident and CFO-$47.3M
• Richard SteinmeierChief Executive Officer-$7.47M
• Matthew MorningstarGroup Managing Director, since December 2025
• Sara DadyarManaging Director, since January 2024
• Althea BrownManaging Director, since September 2023
• Dan H. ArnoldPresident & CEO, Director-$62.7M
• Kabir SethiManaging Director, since May 2022-$346K
• Brent SimonichOfficer, since February 2021+$452K
• Dayton SemerjianOfficer
• Sallie R. LarsenOfficer-$8.72M
• Michelle OroschakoffOfficer-$21.9M
• George Burton WhiteOfficer-$25.7M
• Edward FandreyOfficer, since January 2021-$818K
• Scott SeeseOfficer-$2.49M
• John Andrew KalbaughOfficer-$4.21M

Recent Form 3, 4, and 5 filings for LPLA

• 55d
  Principal Accounting Officer Reeping Katharine sold $153,049 worth of shares (440 units at $347.88), decreasing direct ownership by 20% to 1,774 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 61d
  Group Managing Director Field Emily covered exercise/tax liability with 106 shares, decreasing direct ownership by 5% to 1,833 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 68d
  Director Thomas Corey E. was granted 4 shares, increasing direct ownership by 0.03% to 14,912 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 68d
  Director Schifter Richard P was granted 14 shares, increasing direct ownership by 0.04% to 39,192 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 68d
  Director Putnam James S was granted 7 shares, increasing direct ownership by 0.01% to 135,298 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 68d
  Director Mnookin Allison was granted 2 shares, increasing direct ownership by 0.02% to 11,763 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 68d
  Director Glavin William Francis Jr was granted 10 shares, increasing direct ownership by 0.04% to 24,074 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 68d
  Director Eberhart Paulett was granted 4 shares, increasing direct ownership by 0.02% to 17,764 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 68d
  Director Bernard Edward C was granted 3 shares, increasing direct ownership by 0.02% to 16,262 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 69d
  Group Managing Director Jambusaria Aneri sold $110,067 worth of shares (308 units at $357.36) as part of a pre-agreed trading plan, decreasing direct ownership by 5% to 6,107 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 79d
  Group Managing Director Gates Greg exercised 7,189 shares at a strike of $77.53 and sold $1,463,810 worth of shares (4,119 units at $355.38), increasing direct ownership by 15% to 23,602 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 96d
  Director Putnam James S gifted 2,000 shares, decreasing direct ownership by 1% to 135,290 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 96d
  Group Managing Director Enyedi Matthew sold $352,716 worth of shares (1,000 units at $352.72) as part of a pre-agreed trading plan, decreasing direct ownership by 7% to 13,121 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 139d
  Group Managing Director Jambusaria Aneri sold $94,248 worth of shares (308 units at $306.00) as part of a pre-agreed trading plan, decreasing direct ownership by 5% to 6,415 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 146d
  Group Managing Director Gates Greg covered exercise/tax liability with 232 shares, decreasing direct ownership by 1% to 20,532 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 146d
  Group Managing Director Cohen Marc Eliot covered exercise/tax liability with 44 shares, decreasing direct ownership by 1% to 4,356 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 153d
  Director Thomas Corey E. was granted 7 shares, increasing direct ownership by 0.05% to 14,908 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 153d
  Director Schifter Richard P was granted 19 shares, increasing direct ownership by 0.05% to 39,178 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 153d
  Director Putnam James S was granted 10 shares, increasing direct ownership by 0.01% to 137,290 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 153d
  Director Mnookin Allison was granted 3 shares, increasing direct ownership by 0.03% to 11,761 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 153d
  Director Glavin William Francis Jr was granted 15 shares, increasing direct ownership by 0.06% to 24,064 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 153d
  Director Eberhart Paulett was granted 5 shares, increasing direct ownership by 0.03% to 17,760 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 153d
  Director Bernard Edward C was granted 4 shares, increasing direct ownership by 0.02% to 16,259 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 173d
  Director Thomas Corey E. was granted 1,060 shares, increasing direct ownership by 8% to 14,901 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 173d
  Director Schifter Richard P was granted 1,060 shares, increasing direct ownership by 3% to 39,159 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 173d
  Director Putnam James S was granted 712 shares, increasing direct ownership by 0.52% to 137,280 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 173d
  Director Mulcahy Anne M was granted 1,060 shares, increasing direct ownership by 3% to 37,431 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 173d
  Director Mnookin Allison was granted 712 shares, increasing direct ownership by 6% to 11,758 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 173d
  Director Ko Albert J was granted 712 shares, increasing direct ownership by 28% to 3,299 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 173d
  Director Khanna Somesh was granted 712 shares, increasing direct ownership by 512% to 851 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 173d
  Director Glavin William Francis Jr was granted 712 shares, increasing direct ownership by 3% to 24,049 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 173d
  Director Eberhart Paulett was granted 712 shares, increasing direct ownership by 4% to 17,755 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 173d
  Director Bernard Edward C was granted 1,060 shares, increasing direct ownership by 7% to 16,255 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 184d
  Director Putnam James S gifted 100 shares, decreasing direct ownership by 0.07% to 136,568 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 206d
  SEC Form 4 filed by Audette Matthew J

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 227d
  SEC Form 4 filed by Thomas Corey E.

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 227d
  SEC Form 4 filed by Schifter Richard P

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 227d
  SEC Form 4 filed by Putnam James S

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 227d
  SEC Form 4 filed by Mnookin Allison

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 227d
  SEC Form 4 filed by Glavin William Francis Jr

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 227d
  SEC Form 4 filed by Eberhart Paulett

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 227d
  SEC Form 4 filed by Bernard Edward C

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 242d
  SEC Form 4 filed by LPL Financial Holdings Inc.

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 249d
  Group Managing Director Jambusaria Aneri sold $94,248 worth of shares (308 units at $306.00), decreasing direct ownership by 4% to 6,723 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 254d
  Chief Executive Officer Steinmeier Richard covered exercise/tax liability with 2,619 shares and was granted 12,781 shares, increasing direct ownership by 109% to 19,488 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 254d
  Principal Accounting Officer Reeping Katharine was granted 454 shares and covered exercise/tax liability with 212 shares, increasing direct ownership by 12% to 2,214 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 254d
  Group Managing Director Morningstar Matthew was granted 1,122 shares, increasing direct ownership by 49% to 3,415 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 254d
  Group Managing Director Jambusaria Aneri was granted 2,244 shares and covered exercise/tax liability with 715 shares, increasing direct ownership by 28% to 7,031 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 254d
  Group Managing Director Gates Greg was granted 7,437 shares and covered exercise/tax liability with 1,293 shares, increasing direct ownership by 42% to 20,764 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 254d
  Group Managing Director Field Emily was granted 1,122 shares, increasing direct ownership by 137% to 1,939 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 254d
  Group Managing Director Enyedi Matthew sold $675,192 worth of shares (2,109 units at $320.15), was granted 3,975 shares and covered exercise/tax liability with 1,333 shares, increasing direct ownership by 4% to 14,121 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 254d
  Group Managing Director Cohen Marc Eliot was granted 1,940 shares and covered exercise/tax liability with 483 shares, increasing direct ownership by 36% to 5,488 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 254d
  President and CFO Audette Matthew J was granted 8,776 shares, covered exercise/tax liability with 2,351 shares and sold $506,715 worth of shares (1,581 units at $320.50), increasing direct ownership by 29% to 21,382 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 277d
  Director Khanna Somesh was granted 139 shares (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 298d
  SEC Form 3 filed by new insider Khanna Somesh

  3 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 310d
  Director Schifter Richard P gifted 1,145 shares, decreasing direct ownership by 3% to 38,080 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 332d
  Group Managing Director Morningstar Matthew was granted 1,715 shares, increasing direct ownership by 297% to 2,293 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 332d
  New insider Morningstar Matthew claimed ownership of 578 shares (SEC Form 3)

  3 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 333d
  Chief Executive Officer Steinmeier Richard sold $1,876,482 worth of shares (5,058 units at $370.99) and gifted 275 shares, decreasing direct ownership by 35% to 9,326 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)
• 333d
  Group Managing Director Gates Greg sold $278,231 worth of shares (750 units at $370.97), decreasing direct ownership by 5% to 14,620 units (SEC Form 4)

  4 - LPL Financial Holdings Inc. (0001397911) (Issuer)