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    SEC Form 8-K filed by LPL Financial Holdings Inc.

    6/3/25 4:18:14 PM ET
    $LPLA
    Investment Bankers/Brokers/Service
    Finance
    Get the next $LPLA alert in real time by email
    8-K
    false 0001397911 0001397911 2025-05-30 2025-05-30
     
     

    UNITED STATES

    SECURITIES AND EXCHANGE COMMISSION

    Washington, DC 20549

     

     

    FORM 8-K

     

     

    CURRENT REPORT

    Pursuant to Section 13 OR 15(d)

    of the Securities Exchange Act of 1934

    Date of Report (Date of earliest event reported): May 30, 2025

     

     

    LPL Financial Holdings Inc.

    (Exact name of registrant as specified in its charter)

     

     

     

    Delaware   001-34963   20-3717839

    (State or other jurisdictions

    of incorporation)

      (Commission
    File Number)
      (I.R.S. Employer
    Identification No.)

     

    4707 Executive Drive, San Diego, California   92121
    (Address of principal executive offices)   (Zip Code)

    Registrant’s telephone number, including area code:

    (800) 877-7210

    N/A

    (Former name or former address, if changed since last report)

     

     

    Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

     

    ☐

    Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

     

    ☐

    Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

     

    ☐

    Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

     

    ☐

    Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

    Securities registered pursuant to Section 12(b) of the Act:

     

    Title of each class

     

    Trading
    Symbol(s)

     

    Name of each exchange
    on which registered

    Common Stock - par value $0.001 per share   LPLA   The Nasdaq Global Select Market

    Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

    Emerging growth company ☐

    If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

     

     
     


    Item 5.02

    Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

    On May 30, 2025, Althea Brown submitted her resignation as the Chief Legal Officer and Corporate Secretary of LPL Financial Holdings Inc. (the “Company”) effective June 30, 2025, when she will depart the Company. Ms. Brown has expressed to the Company’s leadership that she has made the personal decision to take a career break after more than 28 years in executive positions. She will support the development of a transition plan while the Company initiates a search for a successor. Ms. Brown was a named executive officer of the Company in its most recent proxy filing with the Securities and Exchange Commission.

     


    SIGNATURE

    Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

     

    LPL FINANCIAL HOLDINGS INC.
    By:  

    /s/ Matthew Audette

      Name:  Matthew Audette
      Title:   President and Chief Financial Officer

    Dated: June 3, 2025

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