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Corporate Governance

Management Team

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Board of Directors

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Contact the Board

CONTACT

Board Committee Composition

Audit Committee Nominating and Governance Committee Compensation Committee
Edward C. Bernard Audit Committee
Paulett Eberhart Audit Committee Compensation Committee
William F. Glavin, Jr. Audit Committee Nominating and Governance Committee
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 Nominating and Governance Committee
Corey E. Thomas Audit Committee
= Chairperson = Member = Chairman of the Board

Corporate Governance Documents

Title Documents

Audit Committee Charter

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    Audit Committee Charter 92.1 KB

Insider Trading Policy

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    Insider Trading Policy 57.3 KB

Nominating and Governance Committee Charter

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    Nominating and Governance Committee Charter 62.9 KB

Compensation and Human Resources Committee Charter

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    Compensation and Human Resources Committee Charter 118.8 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 50.6 KB

Code of Conduct – Employees and Advisors

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    Code of Conduct – Employees and Advisors 1.6 MB

Code of Conduct – Non-employee Directors

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    Code of Conduct – Non-employee Directors 41 KB

On November 13, 2018, 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, and adopted a separate code of conduct applicable to non-employee directors of LPL Financial Holdings Inc.

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Austin LPL Financial
13620 N FM 620 Building C, Suite 200
Austin, TX 78717

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

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Member FINRA/SIPC

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