Results of Operations and Financial Condition. On July 30, 2026, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three months ended June 30, 2026. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise sub…

Results of Operations and Financial Condition. On April 30, 2026, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three months ended March 31, 2026. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise s…

Results of Operations and Financial Condition. On January 29, 2026, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three and twelve months ended December 31, 2025. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)…

Director — Somesh Khanna: Mr. Khanna was elected as a director of the Company.

Results of Operations and Financial Condition. On October 30, 2025, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three months ended September 30, 2025. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or other…

Other Events. On August 1, 2025, the Company, acting through its wholly owned subsidiary, LPL Holdings, Inc., a Massachusetts corporation, completed its previously announced acquisition of Commonwealth.

Regulation FD Disclosure. On August 1, 2025, LPL Financial Holdings Inc. (the “ Company ”) issued a press release announcing the acquisition of CFN Holding Company, LLC, a Massachusetts limited liability company (“ Commonwealth ”). A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “ Exchange Act ”), or otherwise subject to t…

Results of Operations and Financial Condition. On July 31, 2025, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three months ended June 30, 2025. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise sub…

Chief Legal Officer and Corporate Secretary — Althea Brown: Althea Brown resigned from her roles as Chief Legal Officer and Corporate Secretary with a consulting agreement.

Chief Legal Officer and Corporate Secretary — Althea Brown: Ms. Brown resigned to take a career break after more than 28 years in executive positions.

Results of Operations and Financial Condition. On May 8, 2025, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three months ended March 31, 2025. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subj…

Entry into a Material Definitive Agreement. Issuance of 4.900% Senior Notes due 2028, 5.150% Senior Notes due 2030 and 5.750% Senior Notes due 2035 On April 3, 2025, LPL Holdings, Inc. (the “Company”), a wholly-owned subsidiary of LPL Financial Holdings Inc. (the “Guarantor”), completed the issuance and sale of $500,000,000 aggregate principal amount of 4.900% Senior Notes due 2028 (the “2028 Notes”), $500,000,000 aggregate principal amount of 5.150% Senior Notes due 2030 (the “2030 Notes”) a…

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant. The information set forth above under

Regulation FD Disclosure. On March 31, 2025, the Company issued a press release announcing the Transaction. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. In addition, on March 31, 2025, the Company posted a presentation to its website titled “Acquisition of Commonwealth Financial Network”. A copy of the presentation is furnished with this Form 8-K and attached hereto as Exhibit 99.2. Exhibits 99.1 and 99.2 shall not be deemed “filed” for purp…

Entry into a Material Definitive Agreement. On March 28, 2025, LPL Financial Holdings Inc., a Delaware corporation (the “ Company ”), acting through its wholly owned subsidiary, LPL Holdings, Inc., a Delaware corporation (“ LPL Holdings ”), entered into an Equity Purchase Agreement (the “ Purchase Agreement ”) with Gratitude Holdings, Inc., a Massachusetts corporation (“ Gratitude ”), Odd Couple, Inc., a Massachusetts corporation (“ Odd Couple ” and, together with Gratitude, the “ Sellers ”)…

Chief Accounting Officer — Katharine Reeping: Katharine Reeping was promoted to Chief Accounting Officer within the company.

Other Events. On February 24, 2025, LPL Financial Holdings Inc. (the “Company”) and its wholly owned subsidiary LPL Holdings, Inc. (“LPL Holdings”) entered into an underwriting agreement with the representatives of the underwriters named therein (the “Underwriting Agreement”), pursuant to which LPL Holdings has agreed to issue and sell $750,000,000 million in aggregate principal amount of senior notes due 2030 bearing interest at a rate of 5.200% per year at an issue price of 99.856% of their…

Results of Operations and Financial Condition. On January 30, 2025, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three and twelve months ended December 31, 2024. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)…

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant. The information set forth above under

President and Chief Executive Officer — Dan H. Arnold: Mr. Dan H. Arnold was terminated for 'Cause' as CEO and President of LPL Financial Holdings Inc.

Entry into a Material Definitive Agreement. Senior Credit Facilities Today, LPL Financial Holdings Inc. announced the closing of a leverage neutral transaction to refinance its existing Term Loan B facility with a new Term Loan A facility. The refinancing is expected to result in annual cash interest expense savings of approximately $4 million. On December 5, 2024, LPL Holdings, Inc. (the “Borrower”) entered into the ninth amendment (the “Amendment”) to its amended and restated credit agreeme…

Entry into a Material Definitive Agreement. Senior Credit Facilities Today, LPL Financial Holdings Inc. announced the closing of a leverage neutral transaction to refinance its existing Term Loan B facility with a new Term Loan A facility. The refinancing is expected to result in annual cash interest expense savings of approximately $4 million. On December 5, 2024, LPL Holdings, Inc. (the “Borrower”) entered into the ninth amendment (the “Amendment”) to its amended and restated credit agreeme…

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant. The information set forth above under

Results of Operations and Financial Condition. On October 30, 2024, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company”) issued a press release announcing its financial results for the three months ended September 30, 2024. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1. Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or other…

Chief Executive Officer, President, Chief Financial Officer, Director — Rich Steinmeier and Matthew Audette: Rich Steinmeier was promoted to Chief Executive Officer and elected as a Director, while Matthew Audette was appointed President and retained his role as Chief Financial Officer.