LPL Financial Holdings Inc.
LPL Investment Holdings Inc. (Form: 8-K, Received: 06/07/2011 16:05:40)

 

 

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

 

June 6, 2011

Date of report (date of earliest event reported)

 

LPL Investment Holdings Inc.

(Exact name of registrant as specified in its charter)

 

Delaware

 

001-34963

 

20-3717839

(State or other jurisdictions of
incorporation or organization)

 

(Commission File Number)

 

 

(I.R.S. Employer Identification

Nos.)

 

One Beacon Street

Boston MA 02108

(Address of principal executive offices) (Zip Code)

 

(617) 423-3644

(Registrant’s telephone number, including area code)

 

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 registrants under any of the following provisions:

 

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

 

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

 

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

 

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

 

 

 



 

Item 8.01.  Other Events.

 

LPL Investment Holdings Inc. (the “Company”) has appointed Becky S. Shulman as Managing Director and Deputy Chief Financial Officer of the Company, effective June 6, 2011.  She will report directly to the Company’s Chief Financial Officer, Robert J. Moore.

 

Ms. Shulman most recently served as Senior Vice President and Chief Financial Officer of H&R Block, Inc.  Prior to her roles with H&R Block, Inc., Ms. Shulman held various positions with U.S. Central Federal Credit Union, culminating as its Chief Investment Officer.

 

A press release announcing the appointment of Ms. Shulman as Managing Director and Deputy Chief Financial Officer is attached hereto as Exhibit 99.1.

 

ITEM 9.01.            FINANCIAL STATEMENTS AND EXHIBITS.

 

(d)   Exhibits.

 

99.1         Press Release dated June 7, 2011 (“LPL Financial Names Becky S. Shulman Managing Director and Deputy Chief Financial Officer”)

 

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SIGNATURE

 

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

 

 

 

LPL INVESTMENT HOLDINGS INC.

 

 

 

 

 

 

 

By:

/s/ ROBERT J. MOORE

 

 

Name:

Robert J. Moore

 

 

Title:

Chief Financial Officer

 

 

 

 

 

 

Dated: June 7, 2011

 

 

 

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Exhibit 99.1

 

GRAPHIC

 

LPL Financial Names Becky S. Shulman

Managing Director and Deputy Chief Financial Officer

 

Boston, MA – June 7, 2011 – LPL Financial, the nation’s largest independent broker-dealer* and a wholly owned subsidiary of LPL Investment Holdings Inc. (NASDAQ: LPLA), today announced that Becky S. Shulman has been named Managing Director and Deputy Chief Financial Officer, effective immediately.  She is based in San Diego, reporting directly to Robert Moore, Chief Financial Officer.

 

Ms. Shulman most recently served as Chief Financial Officer of H&R Block, Inc.  Prior to joining H&R Block in 2001, she served as Chief Investment Officer for U.S. Central Federal Credit Union.  She brings 22 years of experience across the full spectrum of finance, encompassing accounting and reporting, treasury, tax, investor relations, risk management, insurance, and internal audit.

 

In this newly created position at LPL Financial, Ms. Shulman will be responsible for key Finance activities of the firm, including Business Performance Management, Accounting, Tax, Treasury, and Investor Relations.  In addition, she will serve as a member of the firm’s Executive Management Committee.

 

Robert Moore, Chief Financial Officer at LPL Financial, said, “We are delighted with Becky’s decision to join LPL Financial. The entire leadership at LPL Financial is excited to work closely with Becky as we continue to support the growth of our company.”

 

Becky S. Shulman holds a B.S. in Computer Management from Eastern Illinois University, and an MBA from the University of Illinois.

 

About LPL Financial

LPL Financial, a wholly owned subsidiary of LPL Investment Holdings Inc., is an independent broker-dealer.  LPL Financial and its affiliates offer proprietary technology, comprehensive clearing and compliance services, practice management programs and training, and

 

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independent research to over 12,500 financial advisors and over 750 financial institutions.   Additionally, LPL Financial supports approximately 4,000 financial advisors who are licensed with insurance companies with customized clearing, advisory platforms and technology solutions. LPL Financial and its affiliates have over 2,600 employees with employees and offices in Boston, Charlotte, and San Diego. For more information, please visit www.lpl.com.

 

Member FINRA/SIPC

 


*Based on total revenues, Financial Planning magazine, June 1996-2010

 

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LPLA-C

 

LPL Financial Media Contacts

 

Joseph Kuo

Michael Herley

LPL Financial

Kekst and Company

(704) 733-3931

(212) 521-4897

media.inquiries@lpl.com

michael-herley@kekst.com

 

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