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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 |
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Level
I Sector: |
Financials |
Level
II Sector: |
Financial Services |
Level
III Sector: |
Investment Brokerage - National |
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Member Indexes:
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Rankings:
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Insider 3 Months : - |
Insider 6 Months : - |
Insider 3/6 Months : - |
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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:
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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:
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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:
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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:
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Download only Transactions
Forms. (Default)
Download
only Summary Infomation.
Download
both Transactions and Summary Data
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Summary (Direct Transactions Only) ![](../../images/information.jpg) |
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 |
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Filer's Name |
Relation Title |
Off-Dir-10% |
Tran. Date |
Form |
Action |
Price |
Mkt Value |
D/I |
Shares |
Holdings |
Rank
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3m +/- |
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Form |
Brennan John Joseph |
Director |
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2011-02-16 |
4 |
A |
$0.00 |
$0 |
D/D |
1,513 |
25,077 |
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- |
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Putnam James S |
Director |
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2011-02-16 |
4 |
A |
$0.00 |
$0 |
D/D |
1,513 |
401,513 |
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- |
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Schifter Richard P |
Director |
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2011-02-16 |
4 |
A |
$0.00 |
$0 |
D/D |
1,513 |
1,513 |
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- |
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Brown Stephanie L |
MD & General Counsel |
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2010-12-22 |
4 |
GD |
$34.61 |
$519,150 |
D/D |
15,000 |
698,042 |
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- |
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Dwyer William E Iii |
Pres., Natl Sales & Mktg. |
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2010-12-20 |
4 |
GD |
$33.71 |
$2,022,600 |
D/D |
60,000 |
243,683 |
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- |
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Riepe James S |
Director |
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2010-12-01 |
4 |
A |
$0.00 |
$0 |
D/D |
1,428 |
39,535 |
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- |
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Brennan John Joseph |
Director |
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2010-12-01 |
4 |
A |
$0.00 |
$0 |
D/D |
1,428 |
23,564 |
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- |
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Stiefler Jeffrey E |
Director |
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2010-12-01 |
4 |
A |
$0.00 |
$0 |
I/I |
1,428 |
75,506 |
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- |
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Putnam James S |
Director |
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2010-11-17 |
4 |
S |
$30.00 |
$2,609,100 |
D/D |
(86,970) |
400,000 |
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- |
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Putnam James S |
Director |
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2010-11-17 |
4 |
S |
$30.00 |
$12,219,810 |
I/I |
(407,327) |
327,373 |
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- |
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Putnam James S |
Director |
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2010-11-17 |
4 |
OE |
$1.35 |
$1,119,747 |
I/I |
734,700 |
734,700 |
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- |
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Stearns Esther M |
President & COO |
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2010-11-17 |
4 |
S |
$30.00 |
$39,073,320 |
D/D |
(1,302,444) |
701,816 |
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- |
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Stearns Esther M |
President & COO |
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2010-11-17 |
4 |
OE |
$1.88 |
$3,767,069 |
D/D |
2,003,760 |
2,004,260 |
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- |
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Eaton Jonathan |
MD, Custom Clearing Services |
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2010-11-17 |
4 |
S |
$30.00 |
$14,522,220 |
D/D |
(484,074) |
260,656 |
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- |
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Eaton Jonathan |
MD, Custom Clearing Services |
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2010-11-17 |
4 |
OE |
$1.49 |
$1,215,109 |
D/D |
744,730 |
744,730 |
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- |
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Dwyer William E Iii |
MD & Pres., Natl Sales&Mktg |
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2010-11-17 |
4 |
S |
$30.00 |
$9,367,710 |
D/D |
(312,257) |
303,683 |
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- |
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Dwyer William E Iii |
MD & Pres., Natl Sales&Mktg |
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2010-11-17 |
4 |
OE |
$1.88 |
$1,069,890 |
D/D |
567,740 |
615,940 |
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- |
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Casady Mark S |
Chairman & Chief Exec. Officer |
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2010-11-17 |
4 |
GA |
$0.00 |
$0 |
I/I |
162,000 |
70,000 |
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- |
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Casady Mark S |
Chairman & Chief Exec. Officer |
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2010-11-17 |
4 |
GD |
$0.00 |
$0 |
D/D |
479,000 |
1,279,204 |
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- |
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Casady Mark S |
Chairman & Chief Exec. Officer |
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2010-11-17 |
4 |
S |
$30.00 |
$64,467,480 |
D/D |
(2,148,916) |
1,758,204 |
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- |
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Casady Mark S |
Chairman & Chief Exec. Officer |
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2010-11-17 |
4 |
OE |
$1.35 |
$6,532,905 |
D/D |
3,907,120 |
3,907,120 |
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- |
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Brown Stephanie L |
MD & General Counsel |
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2010-11-17 |
4 |
S |
$30.00 |
$3,774,930 |
D/D |
(125,831) |
713,042 |
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- |
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Arnold Dan H. |
MD & Division President, FIS |
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2010-11-17 |
4 |
S |
$30.00 |
$1,750,680 |
D/D |
(58,356) |
330,684 |
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- |
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Abood Denise M. |
MD, Human Capital |
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2010-11-17 |
4 |
S |
$30.00 |
$207,180 |
D/D |
(6,906) |
39,134 |
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- |
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Riepe James S |
Director |
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2010-03-15 |
4 |
A |
$0.00 |
$0 |
D/D |
2,136 |
38,107 |
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- |
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1246 Records found
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Page 49 of 50 |
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