Skip to main navigation
  • Fee Schedules
  • Disclosures
  • Log In
colored bar
logo
  • Log In
  • Fee Schedules
  • Disclosures
  • Join LPL
    Back to Main Menu Join LPL Join LPL Join LPL Join LPL Join LPL Why Choose LPL Financial
    Why Choose LPL Financial
    • LPL Financial Philosophy
    • News and Insights
    • White Paper Library
    • The Self Clearing Advantage
    Establishing Your Business
    Establishing Your Business
    • Business Model Options
    • Your Recruiter
    • Payouts and Pricing
    • Transitioning Your Practice
    • eRegistration Kit
    Managing Your Business
    Managing Your Business
    • Services and Support
    • LPL Technology
    • Products and Platforms
    • Retirement Partners
    • Research
    Growing Your Business
    Growing Your Business
    • Consulting
    • Learning
    • Financial Growth
  • Working with an Advisor
    Back to Main Menu Working with an Advisor Working with an Advisor Working with an Advisor Working with an Advisor Working with an Advisor Objective Guidance
    Objective Guidance
    • Independent Advisor Services
    • Institution Services
    • Tools & Calculators
    Before You Invest
    Before You Invest
    • Who We Serve
    • Investment Objectives
    After You Invest
    After You Invest
    • How We Support Advisors
    • How We Are Regulated
    • Prudent Investing with an LPL Advisor
    Find an Advisor
    Find an Advisor
  • About Us
    Back to Main Menu About Us About Us About Us About Us What We Do
    What We Do
    • Our Culture
    • Our Community Involvement
    • Our History
    • Diversity and Inclusion
    Careers at LPL
    Careers at LPL
    • Our Commitment to You
    • Our Work Environment
    • Search Jobs
    Our Financial Strength
    Our Financial Strength
    • Corporate Snapshot
    • From the CEO
  • News & Media
    Back to Main Menu News & Media News & Media News & Media News & Media Press Releases
    Press Releases
    Newsroom
    Newsroom
    • Asset Library
    • Media Coverage
    • LPL Stories
    Research and Insights
    Research and Insights
  • Investor Relations
Menu

    Investor Relations

    • Overview
    • Financials & Filings
    • Events & Presentations
    • Stock & Debt Information
    • Corporate Governance
close

ClientWorks

On demand access to client information, document storage, and practice management resources.

GO

Account View

Account View provides you secure access to your accounts from any device, anytime, anywhere.

GO

eRegistration Kit

Start your due diligence by filling out our completely confidential, non-binding Advisor Profile. Our Business Development team will follow up to discuss with you.

GO
 
 
  • Contact IR

    Contact IR

  • Email Alerts

    Email Alerts

  • RSS

    RSS

  • Investor FAQs

    Investor FAQs




  •  
  •  

Corporate Governance

Management Team

VIEW MEMBERS

Board of Directors

VIEW MEMBERS

Contact the Board

CONTACT

Board Committee Composition

Audit Committee Nominating and Governance Committee Compensation Committee
Viet D. Dinh Nominating and Governance Committee
Paulett Eberhart Audit Committee Compensation Committee
William F. Glavin, Jr. Audit Committee
Marco (Mick) W. Hellman Nominating and Governance Committee
Anne M. Mulcahy Nominating and Governance Committee Compensation Committee
James S. Putnam Audit Committee
James S. Riepe Audit Committee Compensation Committee
Richard P. Schifter Nominating and Governance Committee
= Chairperson = Member = Chairman of the Board

Corporate Governance Documents

Title Documents

Audit Committee Charter

  • Add Files
    Audit Committee Charter 44.8 KB

Insider Trading Policy

  • Add Files
    Insider Trading Policy 57.3 KB

Nominating and Governance Committee Charter

  • Add Files
    Nominating and Governance Committee Charter 115.6 KB

Compensation and Human Resources Committee Charter

  • Add Files
    Compensation and Human Resources Committee Charter 128.1 KB

Corporate Governance Guidelines

  • Add Files
    Corporate Governance Guidelines 291.9 KB

Recoupment Policy

  • Add Files
    Recoupment Policy 12.2 KB

Equity Ownership Guidelines for Managing Directors

  • Add Files
    Equity Ownership Guidelines for Managing Directors 57.7 KB

Code of Conduct

  • Add Files
    Code of Conduct 66.7 KB

On July 19, 2017 the board of directors of LPL Financial Holdings Inc. amended the Code of Conduct to make certain clarifying changes to the applicability of the Code of Ethics of LPL Financial LLC.

  • Join LPL
  • Working with an Advisor
  • About Us
  • Investor Relations
  • News and Media
  • Careers at LPL
  • Contact Us
  • Sitemap
  • Fee Schedules
  • Privacy/Security
  • Disclosures
  • Terms of Service
Boston LPL Financial
75 State Street, 22nd Floor
Boston, MA 02109

Fort Mill LPL Financial
1055 LPL Way
Fort Mill, SC 28217

San Diego LPL Financial
4707 Executive Drive
San Diego, CA 92121-3091

© 2018 LPL Financial Holdings
Member FINRA/SIPC

Contact LPL: (800) 877-7210
CA Insurance Lic. #0518721