LPL Financial Holdings Inc. Business Finance Contracts & Agreements

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Eighth Supplemental Indenture, dated April 3, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as...
Indenture Agreements
LPL Financial Holdings Inc.
Capital Markets
2025
Seventh Supplemental Indenture, dated April 3, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as...
Indenture Agreements
LPL Financial Holdings Inc.
Capital Markets
2025
Sixth Supplemental Indenture, dated April 3, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as...
Indenture Agreements
LPL Financial Holdings Inc.
Capital Markets
2025
Underwriting Agreement, dated April 1, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc. and Morgan Stanley & Co. LLC, Citigroup Global Markets Inc., Citizens JMP...
Underwriting Agreements
LPL Financial Holdings Inc.
Capital Markets
2025
Underwriting Agreement dated March 31, 2025, by and between LPL Financial Holdings Inc. and Morgan Stanley & Co. LLC, as representative of the several underwriters named in...
Underwriting Agreements
LPL Financial Holdings Inc.
Capital Markets
2025
Equity Purchase Agreement, dated as of March 28, 2025, by and among LPL Holdings, Inc., Gratitude Holdings, Inc., Odd Couple, Inc. and CFN Holding Company, LLC
Purchase Agreements
LPL Financial Holdings Inc.
Capital Markets
2025
Fifth Supplemental Indenture, dated February 26, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association,...
Indenture Agreements
LPL Financial Holdings Inc.
Capital Markets
2025
Fourth Supplemental Indenture, dated February 26, 2025, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association,...
Indenture Agreements
LPL Financial Holdings Inc.
Capital Markets
2025
Underwriting Agreement, dated February 24, 2025, among LPL Holdings, the Company, Truist Securities, Inc., U.S. Bancorp Investments, Inc., BofA Securities, Inc., Citizens JMP...
Underwriting Agreements
LPL Financial Holdings Inc.
Capital Markets
2025
Third Supplemental Indenture, dated May 20, 2024, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as...
Indenture Agreements
LPL Financial Holdings Inc.
Capital Markets
NY
2024
Second Supplemental Indenture, dated May 20, 2024, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as...
Indenture Agreements
LPL Financial Holdings Inc.
Capital Markets
NY
2024
Underwriting Agreement, dated May 13, 2024, among LPL Holdings, the Company, J.P. Morgan Securities LLC, Citigroup Global Markets Inc., Citizens JMP Securities, LLC, Truist...
Underwriting Agreements
LPL Financial Holdings Inc.
Capital Markets
NY
2024
First Supplemental Indenture, dated November 17, 2023, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association,...
Indenture Agreements
LPL Financial Holdings Inc.
Capital Markets
NY
2023
Indenture, dated November 17, 2023, among LPL Holdings, Inc., LPL Financial Holdings Inc., as the Guarantor, and U.S. Bank Trust Company, National Association, as trustee
Indenture Agreements
LPL Financial Holdings Inc.
Capital Markets
NY
2023
Underwriting Agreement, dated November 8, 2023, among LPL Holdings, the Company, Citigroup Global Markets Inc., J.P. Morgan Securities LLC, Morgan Stanley & Co. LLC and U.S....
Underwriting Agreements
LPL Financial Holdings Inc.
Capital Markets
NY
2023
Form of Advisor Restricted Stock
Stock Agreements
LPL Financial Holdings Inc.
Capital Markets
2021
Indenture, dated May 18, 2021, among LPL Holdings, U.S. Bank National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors
Indenture Agreements
LPL Financial Holdings Inc.
Capital Markets
MA
2021
LPL Financial Holdings Inc. 2021 Employee Stock Purchase Plan
Stock Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2021
Indenture, dated March 15, 2021, among LPL Holdings, U.S. Bank National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors
Indenture Agreements
LPL Financial Holdings Inc.
Capital Markets
MA
2021
LPL Financial Holdings Inc. 2012 Employee Stock Purchase Plan, as amended and restated, effective as of October 29, 2019
Stock Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2021
BETAHost Master Subscription Agreement dated as of January 5, 2009 between LPL Financial Corporation and Refinitiv US LLC (f/k/a Thomson Financial LLC), as amended. (incorporated...
Subscription Agreements
LPL Financial Holdings Inc.
Capital Markets
NY
2021
BETAHost Master Subscription Agreement dated as of January 5, 2009 between LPL Financial Corporation and Refinitiv US LLC (f/k/a Thomson Financial LLC), as amended
Subscription Agreements
LPL Financial Holdings Inc.
Capital Markets
NY
2020
Indenture, dated November 12, 2019, among LPL Holdings, U.S. Bank National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors
Indenture Agreements
LPL Financial Holdings Inc.
Capital Markets
MA
2019
Third Amendment, dated April 25, 2019, among LPL Financial Holdings Inc., LPL Holdings, Inc. ("LPLH"), certain subsidiaries of LPLH, as Guarantors, JP Morgan Chase Bank, N.A., as...
Credit Agreements
LPL Financial Holdings Inc.
Capital Markets
NY
2019
First Supplemental Indenture, dated September 21, 2017, among LPL Holdings, U.S. Bank National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors
Indenture Agreements
LPL Financial Holdings Inc.
Capital Markets
NY
2017
ASSET PURCHASE AGREEMENT by and among NATIONALPLANNING HOLDINGS, INC., SII INVESTMENTS, INC., NATIONAL PLANNING CORPORATION, IFC HOLDINGS, INC. INVESTMENT CENTERS OF AMERICA,...
Purchase Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2017
INDENTURE Dated as of March 10, 2017 Among LPL HOLDINGS, INC., THE GUARANTORS NAMED ON THE SIGNATURE PAGES HERETO and U.S. BANK NATIONALASSOCIATION, as Trustee 5.750% SENIOR NOTES...
Indenture Agreements
LPL Financial Holdings Inc.
Capital Markets
MA
2017
To:LPL Financial Holdings Inc. 75 State Street, 22nd FloorBoston, Massachusetts 02109-1827From:Goldman, Sachs & Co.Re:Capped Accelerated Stock BuybackRef. No:As provided in the...
Stock Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2015
STOCK REPURCHASE AGREEMENT
Repurchase Agreements
LPL Financial Holdings Inc.
Capital Markets
2014
AMENDMENT AND WAIVER TO MANAGEMENT STOCKHOLDERS' AGREEMENT
Waiver Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2013
AMENDMENT AND WAIVER TO MANAGEMENT STOCKHOLDERS' AGREEMENT
Waiver Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2012
AMENDMENT AND WAIVER TO MANAGEMENT STOCKHOLDERS AGREEMENT
Waiver Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2012
LPL Investment Holdings Inc. Common Stock Underwriting Agreement
Underwriting Agreements
LPL Financial Holdings Inc.
Capital Markets
2012
TEN COM- as tenants in common UNIF GIFT MIN ACT- Custodian TEN ENT- as tenants by the entireties (Cust) (Minor) JT TEN- as joint tenants with right of survivorship and not as...
Security Agreements
LPL Financial Holdings Inc.
Capital Markets
2010
LPL Investment Holdings Inc. DIRECTOR RESTRICTED STOCK PLAN
Stock Agreements
LPL Financial Holdings Inc.
Capital Markets
2010
LPL Investment Holdings Inc. 2008 STOCK OPTION PLAN
Stock Agreements
LPL Financial Holdings Inc.
Capital Markets
2008