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LPL Financial Holdings Inc
75 State St Fl 22
Phone: (617) 423-3644p:617 423-3644 BOSTON, MA  02109-1827  United States Ticker: LPLALPLA

Business Summary
LPL Financial Holdings Inc. is a broker-dealer, a custodian for registered investment advisors and an independent consultant to retirement plans. The Company provides a platform of brokerage and investment advisory services to independent financial advisors, including financial advisors at financial institutions across the country. It also supported approximately 4,000 financial advisors, affiliated and licensed with insurance companies through customized clearing services, advisory platforms and technology solutions, as of December 31, 2016. Through its advisors, it is a distributor of financial products and services in the United States. It provides its technology and service to advisors through a technology platform that is server-based and Web-accessible. Its technology offerings are designed to permit its advisors to manage various aspects of their businesses. It automates time-consuming processes, such as account opening and management, document imaging and account rebalancing.
(Source: 10-K)

Scores and Ratings
FRISK®
Score
Z''
Score
PAYCE®
Score
DBT
Index
IRA CQ
Score
Moody's
Rating
Fitch
Rating
DBRS
Rating
Morningstar
Rating
---Yes-----

Financials, News and Filings
Latest
Statement
Last
Audit

News
SEC
Filings
Bankruptcy
Filings
Suit &
Judgment
Filings
Tax
Lien
Filings
9/30/201912/31/2018YesYes--Yes

Officers and Directors

Title

Name

Age
Title
Date
Start
Date
President, Chief Executive Officer, Director Dan H.Arnold 54 1/3/2017 6/1/2007
Chief Financial Officer Matthew J.Audette 44 9/28/2015 9/28/2015
Managing Director, Investor and Investment Solutions and Chief Investment Officer George B.White 50 1/1/2017 1/1/2012
11 additional Officers and Directors records available in full report.

Subsidiaries
Business Name Address City State/Province Country
National Planning Corporation 100 North Sepulveda Boulevard El Segundo CA United States
AdvisoryWorld, Inc. 15335 Morrison Street Sherman Oaks CA United States
National Planning Holdings, Inc. 7601 East Technology Way Denver CO United States
6 additional Subsidiary records available in full report.

Business Names
Business Name
7LI
AdvisoryWorld, Inc.
Allen & Company
21 additional Business Names available in full report.

General Information
Number of Employees: 4,323 (As of 9/30/2019)
Outstanding Shares: 80,831,085 (As of 10/23/2019)
Shareholders: 1,602
Stock Exchange: NASD
Federal Tax Id: 203717839
Fax Number: (302) 655-5049


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Thursday, November 14, 2019