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Corporate Governance

Corporate Governance

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Management Team

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Contact the Board

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Board Committee Composition

Audit Committee Nominating and Governance Committee Compensation Committee
Edward C. Bernard Audit Committee Compensation Committee
Paulett Eberhart Audit Committee Compensation Committee
William F. Glavin, Jr. Audit Committee Nominating and Governance Committee
Albert J. Ko
Allison H. Mnookin Nominating and Governance Committee Compensation Committee
Anne M. Mulcahy Nominating and Governance Committee Compensation Committee
James S. Putnam Compensation Committee
Richard P. Schifter Audit Committee
Corey E. Thomas Audit Committee Nominating and Governance Committee
= Chairperson = Member = Chairman of the Board

Corporate Governance Documents

Title Documents

Audit Committee Charter

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    Audit Committee Charter 285.3 KB

Insider Trading Policy

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    Insider Trading Policy 208.6 KB

Nominating and Governance Committee Charter

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    Nominating and Governance Committee Charter 124.9 KB

Compensation and Human Resources Committee Charter

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    Compensation and Human Resources Committee Charter 177.6 KB

Corporate Governance Guidelines

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    Corporate Governance Guidelines 78.6 KB

Recoupment Policy

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    Recoupment Policy 12.2 KB

Equity Ownership Guidelines for Managing Directors

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    Equity Ownership Guidelines for Managing Directors 176.6 KB

Code of Conduct – Employees and Advisors

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    Code of Conduct – Employees and Advisors 1.7 MB

Code of Conduct – Non-employee Directors

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    Code of Conduct – Non-employee Directors 41 KB

On December 15, 2021, the board of directors of LPL Financial Holdings Inc. amended and restated the code of conduct applicable to employees and financial advisors associated with LPL Financial LLC to add standards of professional conduct applicable to such financial professionals.

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Austin, TX 78717

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75 State Street, 22nd Floor
Boston, MA 02109

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1055 LPL Way
Fort Mill, SC 28217

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San Diego, CA 92121-3091

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