LPL Financial Holdings Inc. (LPLA)
Nasdaq: LPLA · Security & Commodity Brokers, Dealers, Exchanges & Services · San Diego, CA · filing with the SEC since 2007
Grade5.9
◀ Past 7.8● Present 5.6▶ Future 5.0
Who runs LPL Financial Holdings Inc.
Officers and directors as they report to the SEC on Forms 3, 4 and 5, named as filedChief executive, as filed
Steinmeier Richard
Chief Executive Officer. First filing Aug 2018, latest Feb 27, 2026, 7 filings in all.
Officers reporting now
9
of 19 people with a filing in the last fifteen months
Directors reporting now
10
43 people on the record since 2007
Officerssales are open-market, Sep 30, 2025 to Sep 30, 2026
| Name | Title as filed | First filing | Latest filing | Sales, 12 months |
|---|---|---|---|---|
| Reeping Katharine | Principal Accounting Officer | Mar 2025 | Sep 14, 2026 | 1 · $200,000 |
| Field Emily | Group Managing Director | Aug 2025 | Sep 8, 2026 | none |
| Jambusaria Aneri | Group Managing Director | Feb 2023 | Aug 31, 2026 | 4 · $300,000 |
| Gates Greg | Group Managing Director | Aug 2021 | Aug 21, 2026 | 20 · $2.5M |
| Enyedi Matthew | Group Managing Director | Jan 2020 | Aug 4, 2026 | 10 · $1.0M |
| Cohen Marc Eliot | Group Managing Director | Dec 2024 | Jun 15, 2026 | 2 · $1.0M |
| Audette Matthew J | President and CFO | Oct 2015 | Apr 16, 2026 | 10 · $1.0M |
| Steinmeier Richard | Chief Executive Officer | Aug 2018 | Feb 27, 2026 | 6 · $1.9M |
| Morningstar Matthew | Group Managing Director | Dec 2025 | Feb 27, 2026 | none |
Directorssales are open-market, Sep 30, 2025 to Sep 30, 2026
| Name | Role | First filing | Latest filing | Sales, 12 months |
|---|---|---|---|---|
| Bernard Edward C | director | May 2020 | Sep 1, 2026 | none |
| Eberhart Paulett | director | Nov 2014 | Sep 1, 2026 | none |
| Glavin William Francis Jr | director | May 2017 | Sep 1, 2026 | none |
| Mnookin Allison | director | Jun 2018 | Sep 1, 2026 | none |
| Putnam James S | director | Jul 2007 | Sep 1, 2026 | none |
| Schifter Richard P | director | Jun 2007 | Sep 1, 2026 | none |
| Thomas Corey E. | director | May 2019 | Sep 1, 2026 | none |
| Khanna Somesh | director | Jan 2026 | May 19, 2026 | none |
| Ko Albert J | director | Jan 2023 | May 19, 2026 | none |
| Mulcahy Anne M | director | May 2013 | May 19, 2026 | none |
Earlier names on the record24, newest filing first
Brown Althea · officer · last filing Feb 2025Dadyar Sara · officer · last filing Feb 2025Arnold Dan H. · officer · last filing Jun 2024Sethi Kabir · officer · last filing Feb 2024Larsen Sallie R. · officer · last filing Nov 2023Oroschakoff Michelle · officer · last filing Feb 2023Semerjian Dayton · officer · last filing Feb 2023Simonich Brent · officer · last filing Feb 2023Fandrey Edward · officer · last filing Mar 2022White George Burton · officer · last filing Mar 2022Seese Scott · officer · last filing Jun 2021Kalbaugh John Andrew · officer · last filing Mar 2021Riepe James S · director · last filing Apr 2020Calder Tracy · officer · last filing Nov 2019Gooley Thomas · officer · last filing Mar 2019Dinh Viet D · director · last filing Aug 2018Morrissey William P. Jr. · officer · last filing Mar 2018Hellman Marco · director · last filing Mar 2018Brennan John Joseph · director · last filing Mar 2017Bergers David P. · officer · last filing Mar 2017Fetter Victor · officer · last filing Mar 2017Casady Mark S · officer · last filing Mar 2017Buchheister Jeffrey R. · officer · last filing Mar 2016Parker Ryan · officer · last filing Mar 2016
A person is listed as reporting now after a filing in the last fifteen months. The record shows when someone last filed; it does not say why they stopped. Each name links to the filings on sec.gov.