| |
| |
| Exchange: |
Nasdaq Small Cap |
| Security
Type: |
Common |
| Shares
Out: |
79,770,000 |
| Market
Cap: |
22.28(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. |
|
|
|
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 +/-:
|
|
|
|
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 |
|
|
|
|
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 |
  Helliker Mark |
MD, B/D Support Services |
• – – |
2013-02-22 |
4 |
A |
$0.00 |
$0 |
D/D |
3,322 |
3,322 |
|
- |
|
| Bruton Derek |
MD, National Sales Manager |
• – – |
2013-02-22 |
4 |
A |
$0.00 |
$0 |
D/D |
4,645 |
4,645 |
|
- |
|
| Brennan John Joseph |
Director |
– • – |
2013-02-22 |
4 |
A |
$0.00 |
$0 |
D/D |
1,582 |
31,661 |
|
- |
|
| Boyce Richard W |
Director |
– • – |
2013-02-22 |
4 |
A |
$0.00 |
$0 |
D/D |
1,582 |
8,097 |
|
- |
|
| Putnam James S |
Director |
– • – |
2013-02-19 |
4 |
S |
$32.67 |
$594,823 |
I/I |
(18,207) |
222,197 |
|
- |
|
| Putnam James S |
Director |
– • – |
2013-02-19 |
4 |
S |
$32.67 |
$728,312 |
D/D |
(22,293) |
366,515 |
|
- |
|
| Putnam James S |
Director |
– • – |
2013-02-15 |
4 |
S |
$32.66 |
$711,759 |
I/I |
(21,793) |
240,404 |
|
- |
|
| Putnam James S |
Director |
– • – |
2013-02-15 |
4 |
S |
$32.66 |
$578,311 |
D/D |
(17,707) |
388,808 |
|
- |
|
| Bruton Derek |
MD, National Sales Manager |
• – – |
2013-02-11 |
4 |
S |
$32.71 |
$731,003 |
D/D |
(22,348) |
0 |
|
- |
|
| Bruton Derek |
MD, National Sales Manager |
• – – |
2013-02-11 |
4 |
OE |
$19.74 |
$441,150 |
D/D |
22,348 |
22,348 |
|
- |
|
| Brown Stephanie L |
MD & General Counsel |
• – – |
2013-01-29 |
4 |
AS |
$33.00 |
$714,866 |
D/D |
(21,349) |
542,371 |
|
- |
|
| Brown Stephanie L |
MD & General Counsel |
• – – |
2013-01-28 |
4 |
AS |
$32.00 |
$331,168 |
D/D |
(10,349) |
563,720 |
|
- |
|
| Brown Stephanie L |
MD & General Counsel |
• – – |
2013-01-09 |
4 |
AS |
$30.00 |
$310,500 |
D/D |
(10,350) |
574,069 |
|
- |
|
| Dwyer William E Iii |
President, Natl Sales |
• – – |
2012-12-28 |
5 |
GD |
$0.00 |
$0 |
D/D |
177,888 |
561,745 |
|
- |
|
| Fetter Victor |
MD, Chief Information Officer |
• – – |
2012-12-18 |
4 |
A |
$0.00 |
$0 |
D/D |
8,925 |
8,925 |
|
- |
|
| Feeney Christopher |
MD, Chief Information Officer |
• – – |
2012-12-06 |
4 |
S |
$28.07 |
$252,630 |
D/D |
(9,000) |
0 |
|
- |
|
| Feeney Christopher |
MD, Chief Information Officer |
• – – |
2012-12-06 |
4 |
OE |
$18.04 |
$162,360 |
D/D |
9,000 |
9,000 |
|
- |
|
| Brown Stephanie L |
MD & General Counsel |
• – – |
2012-11-23 |
4 |
AS |
$27.00 |
$865,512 |
D/D |
(32,056) |
584,419 |
|
- |
|
| Hellman & Friedman Investors V, L.p. |
Director |
– • • |
2012-11-13 |
4 |
D |
$0.00 |
$0 |
I/I |
(9,479,045) |
0 |
|
- |
|
| Thorpe Allen R |
Director |
– • – |
2012-11-13 |
4 |
A |
$0.00 |
$0 |
D/D |
119,004 |
119,004 |
|
- |
|
| Riepe James S |
Director |
– • – |
2012-11-08 |
4 |
A |
$0.00 |
$0 |
D/D |
1,785 |
46,050 |
|
- |
|
| Schifter Richard P |
Director |
– • – |
2012-11-08 |
4 |
A |
$0.00 |
$0 |
D/D |
1,785 |
6,515 |
|
- |
|
| Stiefler Jeffrey E |
Director |
– • – |
2012-11-08 |
4 |
A |
$0.00 |
$0 |
D/D |
1,785 |
7,943 |
|
- |
|
| Putnam James S |
Director |
– • – |
2012-11-08 |
4 |
A |
$0.00 |
$0 |
D/D |
1,785 |
406,515 |
|
- |
|
| Hellman & Friedman Lp |
Director |
– • • |
2012-11-08 |
4 |
A |
$0.00 |
$0 |
I/I |
3,570 |
9,850 |
|
- |
|
1246 Records found
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Page 43 of 50 |
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2.89 (1.05%) 
