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IPO registrations (S-1, F-1) · Registrants

LPL Financial Holdings Inc.

SEC CIK
1397911 · filings on EDGAR ↗
Name on the registration
LPL Investment Holdings Inc.
Former names
LPL Investment Holdings Inc. (2007–2012)
Registration
Form S-1, first filed 2010-06-04, last 2010-11-15; 1 initial registration, 5 amendments
Outcome
Final prospectus filed 2010-11-18; declared effective 2010-11-17
Industry (SIC)
Security & Commodity Brokers, Dealers, Exchanges & Services 6200
Incorporated in
DE
Business address
4707 EXECUTIVE DRIVE, San Diego, CA 92121
EIN
20-3717839
Ticker
LPLA (Nasdaq)
EDGAR entity type
operating
Insiders and CEO pay
LPL Financial Holdings Inc. on the corporate pages

Offering terms

Proposed price range
$27.00–$30.00 per share (S-1/A filed 2010-11-15)
Final price
$30.00 per share, within the range (424B4 filed 2010-11-18, an initial public offering)
Shares sold
15,657,482 (all by selling holders)
Gross proceeds
$469,724,460 before underwriting discounts and any over-allotment option
Listing
Nasdaq under the symbol LPLA
Lead underwriters
Morgan Stanley (3,483,790 shares); Goldman Sachs (3,483,790 shares)
Syndicate
Merrill Lynch (2,700,916); J.P. Morgan (2,700,916); Sanford C; Citigroup (521,916); UBS (521,916); William Blair (313,150); Lazard (313,150); Macquarie (313,150); O’Neill + Partners, L.P; BofA Securities; KBW (313,150); Piper Sandler; Sanford C. Bernstein & Co., LLC (521,916); Sandler O’Neill & Partners, L.P (313,150); Blaylock Van (78,286); BNY Mellon Capital Markets, LLC (78,286)

Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.

Filings 9

FiledFormWhat it isName as filedEDGAR
2010-06-04S-1S-1 (registration)LPL Investment Holdings Inc.0000950123-10-055957 ↗
2010-06-22S-1/AS-1/A (amendment)LPL Investment Holdings Inc.0000950123-10-059855 ↗
2010-07-09S-1/AS-1/A (amendment)LPL Investment Holdings Inc.0000950123-10-064557 ↗
2010-08-10S-1/AS-1/A (amendment)LPL Investment Holdings Inc.0000950123-10-075724 ↗
2010-11-03S-1/AS-1/A (amendment)LPL Investment Holdings Inc.0000950123-10-100184 ↗
2010-11-15S-1/AS-1/A (amendment)LPL Investment Holdings Inc.0000950123-10-105214 ↗
2010-11-17S-1MEFS-1MEF (added securities)LPL Investment Holdings Inc.0000950123-10-106774 ↗
2010-11-17EFFECTEFFECT (declared effective)LPL Investment Holdings Inc.9999999995-10-003284 ↗
2010-11-18424B4424B4 (final prospectus)LPL Investment Holdings Inc.0000950123-10-106925 ↗

Prospectus pages read 2

FiledFormRead asRangePriceSharesProceedsListingUnderwritersWhat was foundDocument
2010-11-15S-1/Aregistration statement$27.00–$30.0015,614,723-Nasdaq LPLA14primary document; range, price line, shares headline, proceeds computed, price outside the range dropped, cover names 14document ↗
2010-11-18424B4final prospectus$30.0015,657,482$469,724,460Nasdaq LPLA18primary document; price sentence, shares headline, proceeds table, underwriting table 14, cover names 14document ↗

Officers, directors and large holders Forms 3, 4 and 5

InsiderRoleTitleFilingsYearsOn this site
Black Steven M.OfficerMng Dir, Chief Risk Officer; Mng Dir., Chief Risk Officer32007–2009
Brown Stephanie LOfficerManaging Director, GC; Man Dir. & General Counsel; Man. Dir. & General Counsel; MD & General Counsel; Mng Dir, General Counsel; Mng Dir., General Counsel212007–2013
Casady Mark SDirector; Director,OfficerChairman, CEO; Chairman & Chief Exec. Officer; Chief Executive Officer192007–2017
Dwyer William E IIIOfficerManaging Director; Managing Director, Natl. Sales; MD & Pres., Nat'l Sales&Mktg; Mng Dir, President, IAS; President, Nat'l Sales; President, Nat. Sales & Mktg.; Pres., Nat'l Sales & Mktg.192007–2013
Goldstein Jeffrey ADirector52007–2013
Haines MarshallDirector; Other22007–2009
Maher BillOfficerManaging Director; Managing Director, CFO32007–2009
SCHIFTER RICHARD PDirector682007–2026
Stearns Esther MOfficerPresident and COO; President & COO; President, COO162007–2012
Thorpe Allen RDirector92007–2013
Tuorto Joseph POfficerManaging Dir., Chief Comp Off; Mng Dir, Head of Compliance22007–2008
Putnam James SDirector792007–2026
STIEFLER JEFFREY EDirector192007–2013
RIEPE JAMES SDirector402008–2020
Moore Robert J.OfficerChief Financial Officer; President; President & COO112008–2015
BONDERMAN DAVIDOther; TenPercentOwner112009–2015
COULTER JAMES GOther; TenPercentOwner112009–2015
Hellman & Friedman Capital Associates V, LLCDirector,TenPercentOwner; TenPercentOwner52009–2013
Hellman & Friedman Capital Partners V, L.P.Director,TenPercentOwner; TenPercentOwner112009–2013
Hellman & Friedman Capital Partners V (Parallel), L.P.Director; Director,TenPercentOwner; TenPercentOwner112009–2013
Hellman & Friedman Investors V, LLCDirector,TenPercentOwner; TenPercentOwner112009–2013
Hellman & Friedman LLCDirector,TenPercentOwner; TenPercentOwner112009–2013
TPG Advisors IV, Inc.TenPercentOwner12009
BOYCE RICHARD WDirector132009–2015
Thomas LuxOfficerActing Chief Financial Officer; EVP, CAO132009–2015
Ragatz Erik D.Director32009–2011
Brennan John JosephDirector152010–2017
Abood Denise M.OfficerMD, Human Capital32010
Arnold Dan H.Director,Officer; OfficerChief Financial Officer; MD & Division President, FIS; MD & Div. President, FIS; MD & Head of Strategy; President; President & CEO652010–2024
Eaton JonathanOfficerMD, Custom Clearing Services492010–2012
Feeney ChristopherOfficerMD, Chief Information Officer52010–2012
Helliker MarkOfficerMD, B/D Support Services; MD, Client Support Services92010–2015
McDermott John J.OfficerMD, Chief Enterprise Risk; MD, Chief Enterprise Risk Ofc.; MD, Chief Risk Ofc.; See Remarks42010–2013
SHULMAN BECKY SOfficerMD & Deputy CFO22011
Bruton DerekOfficerMD, Independent Advisor Svcs; MD, National Sales Manager62012–2014
Kalbaugh John AndrewOfficerManaging Director; MD, Divisional President NSC; MD, Institution Services; MD,Rel. Mgmt & Bus. Consulting362012–2021
Khoury Joan DOfficerMD, Chief Marketing Officer52012–2014
Larsen Sallie R.OfficerManaging Director; MD, Chief Human Cap. Officer352012–2023
TPG Group Holdings (SBS) Advisors, Inc.Other; TenPercentOwner102012–2015
White George BurtonOfficerManaging Director; MD, Chief Investment Officer; MD, Investor & Invstmt Solutns; MD, Research392012–2022
Hellman & Friedman LPDirector,TenPercentOwner32012–2013
Fetter VictorOfficerManaging Director; MD, Chief Information Officer132012–2017
Hellman & Friedman GP LLCDirector,TenPercentOwner22013
MULCAHY ANNE MDirector182013–2026
Bergers David P.OfficerManaging Director; MD, Legal & Gov't Relations142013–2017
Oroschakoff MichelleOfficerManaging Director; MD, Chief Risk Officer492013–2023
Morrissey William P. Jr.OfficerManaging Director; MD, Business Development; MD, Divisional President BD; MD, Divisional President IAS; MD, Divisional Pres. of IAS; MD, Independent Advisor Svcs182014–2018
Parker RyanOfficerMD, Invstmt & Planning Solutns62014–2016
Schott Mary FrancesOfficerMD, Client Expernce & Training42014–2015
Buchheister Jeffrey R.OfficerEVP, Chief Accounting Officer102014–2016
EBERHART PAULETTDirector502014–2026
Handelsman SharynOfficerMD, Chief Compliance Officer22015
Gooley ThomasOfficerManaging Director; MD, Svc, Trading & Operations172015–2019
Audette Matthew JOfficerCFO and Head of Business Ops; Chief Financial Officer; President and CFO312015–2026
DINH VIET DDirector132015–2018
Calder TracyOfficerManaging Director; MD, Deputy Chief Risk Officer112016–2019
Hellman MarcoDirector82016–2018
Glavin William Francis JrDirector512017–2026
Seese ScottOfficerManaging Director; MD, Chief Information Officer112017–2021
Mnookin AllisonDirector362018–2026
Steinmeier RichardOfficerChief Executive Officer; Managing Director212018–2026
SEMERJIAN DAYTONOfficerManaging Director72019–2023
Thomas Corey E.Director392019–2026
Enyedi MatthewOfficerGroup Managing Director; Managing Director202020–2026
BERNARD EDWARD CDirector342020–2026
Fandrey EdwardOfficerManaging Director82021–2022
Simonich BrentOfficerEVP, CAO and Treasurer; Principal Accounting Officer62021–2023
Gates GregOfficerGroup Managing Director; Managing Director212021–2026
Sethi KabirOfficerManaging Director52022–2024
Ko Albert JDirector62023–2026
Jambusaria AneriOfficerGroup Managing Director; Managing Director152023–2026
Brown AltheaOfficerManaging Director52023–2025
Dadyar SaraOfficerManaging Director22024–2025
Cohen Marc EliotOfficerGroup Managing Director; Managing Director62024–2026
Reeping KatharineOfficerPrincipal Accounting Officer42025–2026
Field EmilyOfficerGroup Managing Director42025–2026
Morningstar MatthewOfficerGroup Managing Director32025–2026
Khanna SomeshDirector32026

Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.

Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.

Also on this site Fuzzy

RecordName as filedWhereDatasetMatched by
Business registrationLPL FINANCIAL HOLDINGS INC.CAState business registriesname and state
SEC filerLPL Financial Holdings Inc.SEC filers (EDGAR)CIK (EXACT)

Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.

Others with the same interests

SIC industry Security & Commodity Brokers, Dealers, Exchanges & Services, CA first:

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In other datasets, the same topic (Finance) in CA:

Interests: Security & Commodity Brokers, Dealers, Exchanges & Services · Finance