Investor FAQs

What does LPL Financial Holdings Inc. do? What does LPL Financial do?

LPL Financial Holdings Inc. (NASDAQ: LPLA) is the parent company of LPL Financial, one of the nation's leading diversified financial services companies and the largest independent broker/dealer, supporting nearly 22,000 financial advisors, including advisors at approximately 1,100 enterprises and at approximately 550 registered investment advisor (“RIA”) firms nationwide.

When was the Company's Initial Public Offering?

LPL's shares began trading publicly on November 18, 2010.

Where is the Company's corporate headquarters?

4707 Executive Drive
San Diego, CA 92121
Telephone: (800) 877-7210

In addition, the company has primary offices in Fort Mill, SC; Boston, MA; and Austin, TX.

Who is the Company's transfer agent and what is their contact information?

Our transfer agent, Computershare, can help you in a variety of shareholder-related services including change of address, lost stock certificates, stock transfer, account status and other administrative services. You can contact our transfer agent at: 1-866-331-5917 or visit its website at www.computershare.com/investor.
Shareholders wishing to transfer their stock should send their written request, stock certificate(s) and other required documentation to the following:
Via U.S. Postal Service:

Computershare
P.O. Box 505000
Louisville, KY 40233

Overnight correspondence should be sent to:

Computershare
462 South 4th Street, Suite 1600
Louisville, KY 40202

How do I transfer stock, change the address on my shareholder account, or replace a lost stock certificate?

Shareholders should contact our transfer agent and visit its site at www.computershare.com/investor. From this site they can have a live chat with one of the transfer agent’s representatives or access guides or forms about transferring stock, changing their address or replacing lost stock certificates.

Who are the members of the Company's Board of Directors?

You can view information about the members of our Board of Directors and Management team by visiting the Board and Management section of our Investor Relations website.

When does LPL's fiscal year end?

31 December

What is LPL's CUSIP number?

50212V 100

Who are the company's independent registered public accountants?

Deloitte & Touche LLP,
655 W Broadway,Suite 700
San Diego, CA 92101

Who is LPL's outside legal counsel?

Ropes & Gray LLP
Prudential Tower
800 Boylston Street
Boston, MA 02110
Telephone (617) 951-7000

Does LPL pay dividends?

The declarations of future dividends, as well as the timing of record and payment dates, will be subject to the continuing determination by the board of directors of LPL Financial Holdings Inc. that such declaration is in the best interests of LPL’s stockholders and are in compliance with applicable law. Such determinations will depend upon a number of factors that the board of directors deems relevant, including future earnings, the success of LPL’s business activities, capital requirements, the general financial condition and future prospects of LPL’s business and general business conditions. See the Risks Related to Ownership of Our Common Stock section within Part I, “Item 1A. Risk Factors” in the Company's most recent annual report on Form 10-K for more information about the risks associated with LPL’s ability to pay regular dividends to holders of its common stock.

Does LPL have a direct stock purchase plan?

LPL does not currently have a direct stock purchase plan.

Where can I find all of LPL's SEC filings? Where can I download and view quarterly and annual reports?

Quarterly and annual reports, as well as other SEC filings, can be accessed on the Investor Relations section of the LPL Investor Relations website or directly from the SEC at www.sec.gov.

How do I contact the Investor Relations department with a question or request?

You can contact LPL Investor Relations via email by investor.relations@lplfinancial.com.