| |
| |
| Exchange: |
Nasdaq Small Cap |
| Security
Type: |
Common |
| Shares
Out: |
79,770,000 |
| Market
Cap: |
22.05(B) |
| Last
Volume: |
0 |
Avg
Vol: |
0 |
| 52
Week Range: |
$209.89 - $288.82 |
|
| Level
I Sector: |
Financials |
| Level
II Sector: |
Financial Services |
| Level
III Sector: |
Investment Brokerage - National |
|
Member Indexes:
|
Rankings:
|
|
| Insider 3 Months : - |
| Insider 6 Months : - |
| Insider 3/6 Months : - |
|
| Guru Rank Number : 339 |
| Guru Rank Value : 3.6 |
| Guru Occurances : 2 |
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|
Company Profile LPL Financial Holdings is a holding company. Through its subsidiaries, Co. is engaged in the retail financial advice market and is an independent broker-dealer. Co.'s product and solution access includes: commission-based products, which include variable and fixed annuities, mutual funds, equities, fixed income, alternative investments, retirement and education savings plans and insurance; and fee-based platforms and support, which includes wrap-fee programs, mutual fund asset allocation programs, an advisor-improved digital advice program, advisory programs provided by third-party investment advisor firms, financial planning services and retirement plan consulting services.
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D/I:
|
|
|
D
is for direct shares.
I is
for indirect shares.
D/I
refers to the Direct or Indirect
shares traded vs. held. |
|
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|
Forms:
|
|
|
A
Form 4 is a form filed
by an insider to indicate a change
in ownership.
A Form
3 is a form filed by
an insider to indicate an
initial ownership of a security. |
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3m +/-:
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|
This
represents the company's 3 month
price change. The initial price
is based on the closing price
of the stock on the day the transaction
took place. Purchases & sales
are viewed as long & short
positions respectively.
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|
Actions:
|
|
|
| B |
Buy |
| S |
Sell |
| OE |
Option
Exercised |
| A |
Acquired |
| D |
Disposed |
| AB |
Automatic
Buy |
| AS |
Automatic
Sell |
| IO |
Initial
Ownership |
|
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|
Download:
|
|
|
Download only Transactions
Forms. (Default)
Download
only Summary Infomation.
Download
both Transactions and Summary Data
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| |
| |
Summary (Direct Transactions Only)  |
3 Months |
6 Months |
12 Months |
24 Months |
| Total Shares Bought |
0 |
0 |
0 |
1,935 |
| Total Buy Value |
$0 |
$0 |
$0 |
$401,731 |
| Total People Bought |
0 |
0 |
0 |
2 |
| Total Buy Transactions |
0 |
0 |
0 |
3 |
| Total Shares Sold |
5,677 |
107,333 |
136,844 |
380,215 |
| Total Sell Value |
$1,574,289 |
$28,038,120 |
$34,908,656 |
$92,282,680 |
| Total People Sold |
1 |
5 |
8 |
9 |
| Total Sell Transactions |
1 |
10 |
16 |
33 |
| End Date |
2024-03-31 |
2023-12-29 |
2023-06-30 |
2022-06-30 |
|
| Filer's Name |
Relation Title |
Off-Dir-10% |
Tran. Date |
Form |
Action |
Price |
Mkt Value |
D/I |
Shares |
Holdings |
Rank
|
|
|
| 3m +/- |
|
|
Form |
  Parker Ryan |
MD, Invstmt & Planning Solutns |
• – – |
2014-06-05 |
3 |
IO |
$0.00 |
$0 |
D/D |
0 |
1,240 |
|
- |
|
| Boyce Richard W |
Director |
– • – |
2014-05-07 |
4 |
A |
$46.89 |
$79,994 |
D/D |
1,706 |
54,954 |
|
- |
|
| Schifter Richard P |
Director |
– • – |
2014-05-07 |
4 |
A |
$46.89 |
$79,994 |
D/D |
1,706 |
21,937 |
|
- |
|
| Brennan John Joseph |
Director |
– • – |
2014-05-07 |
4 |
A |
$46.89 |
$79,994 |
D/D |
1,706 |
35,485 |
|
- |
|
| Mulcahy Anne M |
Director |
– • – |
2014-05-07 |
4 |
A |
$46.89 |
$79,994 |
D/D |
1,706 |
5,194 |
|
- |
|
| Riepe James S |
Director |
– • – |
2014-05-07 |
4 |
A |
$46.89 |
$79,994 |
D/D |
1,706 |
51,456 |
|
- |
|
| Putnam James S |
Director |
– • – |
2014-05-07 |
4 |
A |
$46.89 |
$79,994 |
D/D |
1,706 |
106,921 |
|
- |
|
| Morrissey William P. Jr. |
MD, Independent Advisor SvcsOf |
• – – |
2014-04-14 |
3 |
IO |
$0.00 |
$0 |
D/D |
0 |
5,922 |
|
- |
|
| Schifter Richard P |
Director |
– • – |
2014-03-06 |
4 |
A |
$53.47 |
$49,994 |
D/D |
935 |
20,231 |
|
- |
|
| Riepe James S |
Director |
– • – |
2014-03-06 |
4 |
A |
$53.47 |
$49,994 |
D/D |
935 |
49,750 |
|
- |
|
| Putnam James S |
Director |
– • – |
2014-03-06 |
4 |
A |
$53.47 |
$49,994 |
D/D |
935 |
105,215 |
|
- |
|
| Mulcahy Anne M |
Director |
– • – |
2014-03-06 |
4 |
A |
$53.47 |
$49,994 |
D/D |
935 |
3,488 |
|
- |
|
| Brennan John Joseph |
Director |
– • – |
2014-03-06 |
4 |
A |
$53.47 |
$49,994 |
D/D |
935 |
33,779 |
|
- |
|
| Boyce Richard W |
Director |
– • – |
2014-03-06 |
4 |
A |
$53.47 |
$49,994 |
D/D |
935 |
53,248 |
|
- |
|
| Thomas Lux |
EVP, CAO |
• – – |
2014-02-28 |
4 |
OE |
$22.08 |
$177,616 |
D/D |
6,200 |
8,413 |
|
- |
|
| Thomas Lux |
EVP, CAO |
• – – |
2014-02-28 |
4 |
S |
$53.98 |
$215,920 |
D/D |
(4,000) |
6,213 |
|
- |
|
| Oroschakoff Michelle |
MD, Chief Risk Officer |
• – – |
2014-02-24 |
4 |
A |
$0.00 |
$0 |
D/D |
1,915 |
7,337 |
|
- |
|
| Moore Robert J. |
President |
• – – |
2014-02-24 |
4 |
A |
$0.00 |
$0 |
D/D |
17,742 |
57,748 |
|
- |
|
| Fetter Victor |
MD, Chief Information Officer |
• – – |
2014-02-24 |
4 |
A |
$0.00 |
$0 |
D/D |
5,472 |
20,033 |
|
- |
|
| Bergers David P. |
MD, Legal & Govt Relations |
• – – |
2014-02-24 |
4 |
A |
$0.00 |
$0 |
D/D |
1,122 |
45,313 |
|
- |
|
| Arnold Dan H. |
Chief Financial Officer |
• – – |
2014-02-24 |
4 |
A |
$0.00 |
$0 |
D/D |
12,406 |
185,927 |
|
- |
|
| Khoury Joan D |
MD, Chief Marketing Officer |
• – – |
2014-02-24 |
4 |
A |
$0.00 |
$0 |
D/D |
1,860 |
6,817 |
|
- |
|
| Kalbaugh John Andrew |
MD, Institution Services |
• – – |
2014-02-24 |
4 |
A |
$0.00 |
$0 |
D/D |
2,025 |
8,340 |
|
- |
|
| Bruton Derek |
MD, Independent Advisor Svcs |
• – – |
2014-02-24 |
4 |
A |
$0.00 |
$0 |
D/D |
1,970 |
9,402 |
|
- |
|
| Helliker Mark |
MD, B/D Support Services |
• – – |
2014-02-24 |
4 |
A |
$0.00 |
$0 |
D/D |
2,052 |
5,010 |
|
- |
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1246 Records found
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Page 38 of 50 |
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