LPL Financial Holdings Inc. Contracts & Agreements
106 Contracts & Agreements
- Business Finance (24 contracts)
- Business Operations (5)
- Human Resources (42)
- Uncategorized (35)
- 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 (Filed With SEC on November 17, 2023)
- 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,... (Filed With SEC on November 17, 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.... (Filed With SEC on November 9, 2023)
- Description of Registrants Securities (Filed With SEC on February 23, 2023)
- Form of Employee Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan, as amended February 6, 2023 (Filed With SEC on February 23, 2023)
- LPL Financial Holdings Inc. Non-Employee Director Compensation Policy (Filed With SEC on August 4, 2022)
- LPL Financial Holdings Inc. Non-Employee Director Deferred Compensation Plan, as amended May 5, 2021 (Filed With SEC on February 22, 2022)
- LPL Financial Holdings Inc. Non-Employee Director Compensation Policy, as amended May 5, 2021 (Filed With SEC on February 22, 2022)
- Form of Employee Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan (Filed With SEC on November 2, 2021)
- Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan (Filed With SEC on November 2, 2021)
- Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan (Filed With SEC on November 2, 2021)
- Form of Financial Institution Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan (Filed With SEC on November 2, 2021)
- Leave Letter Agreement between LPL Financial LLC and Scott Seese, dated February 25, 2021 (Filed With SEC on November 2, 2021)
- Form of Employee Restricted Stoc (Filed With SEC on August 3, 2021)
- Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan (Filed With SEC on August 3, 2021)
- Form of Advisor Restricted Stock (Filed With SEC on August 3, 2021)
- Form of Financial Institution Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan (Filed With SEC on August 3, 2021)
- Indenture, dated May 18, 2021, among LPL Holdings, U.S. Bank National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors (Filed With SEC on May 18, 2021)
- LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan (Filed With SEC on May 5, 2021)
- LPL Financial Holdings Inc. 2021 Employee Stock Purchase Plan (Filed With SEC on May 5, 2021)
- BETA Services First Amended and Restated Master Subscription Agreement, dated as of January 29, 2021, between LPL Financial LLC and Refinitiv US LLC (Filed With SEC on May 4, 2021)
- Indenture, dated March 15, 2021, among LPL Holdings, U.S. Bank National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors (Filed With SEC on March 15, 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... (Filed With SEC on February 23, 2021)
- LPL Financial Holdings Inc. 2012 Employee Stock Purchase Plan, as amended and restated, effective as of October 29, 2019 (Filed With SEC on February 23, 2021)
- Description of Registrants Securities (Filed With SEC on February 21, 2020)
- LPL Financial Holdings Inc. Non-Employee Director Compensation Policy (Filed With SEC on February 21, 2020)
- 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 (Filed With SEC on February 21, 2020)
- Indenture, dated November 12, 2019, among LPL Holdings, U.S. Bank National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors (Filed With SEC on November 12, 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... (Filed With SEC on July 30, 2019)
- Thomson Transaction Services Master Subscription Agreement dated as of January 5, 2009 between LPL Financial Corporation and Thomson Financial LLC, as amended (Filed With SEC on February 26, 2019)
- LPL Financial Holdings Inc. Non-Employee Director Compensation Policy (Filed With SEC on July 31, 2018)
- 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 (Filed With SEC on September 21, 2017)
- ASSET PURCHASE AGREEMENT by and among NATIONALPLANNING HOLDINGS, INC., SII INVESTMENTS, INC., NATIONAL PLANNING CORPORATION, IFC HOLDINGS, INC. INVESTMENT CENTERS OF AMERICA,... (Filed With SEC on August 15, 2017)
- AMENDMENT AGREEMENT (Filed With SEC on August 1, 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... (Filed With SEC on March 10, 2017)
- EMPLOYEE STOCK OPTION AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN (Filed With SEC on February 24, 2017)
- EMPLOYEE RESTRICTED STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN (Filed With SEC on February 24, 2017)
- LPL FINANCIAL LLC EXECUTIVE SEVERANCE PLAN Amended and Restated as of February 23, 2017 (Filed With SEC on February 24, 2017)
- EMPLOYEE PERFORMANCE STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN (Filed With SEC on February 24, 2017)
- LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy (Filed With SEC on February 24, 2017)
- LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy (Filed With SEC on July 29, 2016)
- LPL FINANCIAL HOLDINGS, INC. NON-EMPLOYEE DIRECTOR DEFERRED COMPENSATION PLAN (Filed With SEC on February 25, 2016)
- EARLY SETTLEMENT AGREEMENT (Filed With SEC on December 11, 2015)
- 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... (Filed With SEC on November 24, 2015)
- LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy (Filed With SEC on August 5, 2015)
- LPL FINANCIAL HOLDINGS INC. AMENDED AND RESTATED 2010 OMNIBUS EQUITY INCENTIVE PLAN (Filed With SEC on May 15, 2015)
- LPL FINANCIAL HOLDINGS INC. AMENDED AND RESTATED CORPORATE EXECUTIVE BONUS PLAN Adopted by the Board of Directors on March 3, 2015 (Filed With SEC on May 15, 2015)
- FIRST AMENDMENT TO STOCKHOLDERS AGREEMENT (Filed With SEC on October 30, 2014)
- THIS EXHIBIT HAS BEEN REDACTED AND IS THE SUBJECT OF A CONFIDENTIAL TREATMENT REQUEST. REDACTED MATERIAL IS MARKED WITH [**] AND HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND... (Filed With SEC on July 30, 2014)
- LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy (Filed With SEC on July 30, 2014)
- EMPLOYEE STOCK OPTION AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN (Filed With SEC on February 26, 2014)
- EMPLOYEE RESTRICTED STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN (Filed With SEC on February 26, 2014)
- ADVISOR RESTRICTED STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN (Filed With SEC on February 26, 2014)
- FINANCIAL INSTITUTION RESTRICTED STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN (Filed With SEC on February 26, 2014)
- LPL FINANCIAL LLC EXECUTIVE SEVERANCE PLAN Amended and Restated as of February 24, 2014 (Filed With SEC on February 26, 2014)
- SUPPLEMENTAL EXECUTIVE RESTRICTED STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN (Filed With SEC on February 26, 2014)
- STOCK REPURCHASE AGREEMENT (Filed With SEC on February 13, 2014)
- PERSONAL & CONFIDENTIAL (Filed With SEC on April 25, 2013)
- AMENDMENT AND WAIVER TO MANAGEMENT STOCKHOLDERS' AGREEMENT (Filed With SEC on February 26, 2013)
- LPL FINANCIAL HOLDINGS INC. 2010 OMNIBUS EQUITY INCENTIVE PLAN Revenue Award Agreement (Filed With SEC on February 26, 2013)
- LPL FINANCIAL HOLDINGS INC. 2010 OMNIBUS EQUITY INCENTIVE PLAN EBITDA Award Agreement (Filed With SEC on February 26, 2013)
- EMPLOYMENT AGREEMENT (Filed With SEC on February 26, 2013)
- SENIOR EXECUTIVE STOCK OPTION AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN (Filed With SEC on February 26, 2013)
- SENIOR MANAGEMENT STOCK OPTION AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN (Filed With SEC on February 26, 2013)
- SENIOR EXECUTIVE RESTRICTED STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN (Filed With SEC on February 26, 2013)
- SENIOR MANAGEMENT RESTRICTED STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN (Filed With SEC on February 26, 2013)
- RESTRICTED STOCK AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN (Filed With SEC on October 31, 2012)
- AMENDMENT AND WAIVER TO MANAGEMENT STOCKHOLDERS' AGREEMENT (Filed With SEC on August 1, 2012)
- AMENDMENT AND WAIVER TO MANAGEMENT STOCKHOLDERS AGREEMENT (Filed With SEC on June 5, 2012)
- LPL Investment Holdings Inc. Common Stock Underwriting Agreement (Filed With SEC on May 2, 2012)
- AMENDMENT TO THE LPL INVESTMENT HOLDINGS INC. 2008 NONQUALIFIED DEFERRED COMPENSATION PLAN (Filed With SEC on February 27, 2012)
- Exhibit No (Filed With SEC on April 27, 2011)
- comprehensive account lookup for accounts and direct business data (Filed With SEC on March 9, 2011)
- comprehensive account lookup for accounts and direct business data (Filed With SEC on March 9, 2011)
- comprehensive account lookup for accounts and direct business data (Filed With SEC on March 9, 2011)
- comprehensive account lookup for accounts and direct business data (Filed With SEC on March 9, 2011)
- comprehensive account lookup for accounts and direct business data (Filed With SEC on March 9, 2011)
- Enabling Technology. We provide our technology and service to advisors through BranchNet, our proprietary, integrated technology platform that is server-based and web-accessed.... (Filed With SEC on November 15, 2010)
- Enabling Technology. We provide our technology and service to advisors through BranchNet, our proprietary, integrated technology platform that is server-based and web-accessed.... (Filed With SEC on November 3, 2010)
- Enabling Technology. We provide our technology and service to advisors through BranchNet, our proprietary, integrated technology platform that is server-based and web-accessed.... (Filed With SEC on November 3, 2010)
- FIRST AMENDMENT TO STOCKHOLDERS AGREEMENT (Filed With SEC on September 8, 2010)
- STOCKHOLDERS AGREEMENT (Filed With SEC on September 8, 2010)
- MANAGEMENTSTOCKHOLDERS AGREEMENT (Filed With SEC on September 8, 2010)
- 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... (Filed With SEC on July 23, 2010)
- AGREEMENT (Filed With SEC on July 23, 2010)
- AGREEMENT (Filed With SEC on July 23, 2010)
- AGREEMENT (Filed With SEC on July 23, 2010)
- AGREEMENT (Filed With SEC on July 23, 2010)
- AGREEMENT (Filed With SEC on July 23, 2010)
- LPL FINANCIAL CORPORATION EXECUTIVE SEVERANCE PLAN (Filed With SEC on July 23, 2010)
- Enabling Technology. We provide our technology and service to advisors through BranchNet, our proprietary, integrated technology platform that is server-based and web-accessed.... (Filed With SEC on July 9, 2010)
- Enabling Technology. We provide our technology and service to advisors through BranchNet, our proprietary, integrated technology platform that is server-based and web-accessed.... (Filed With SEC on July 9, 2010)
- Enabling Technology. We provide our technology and service to advisors through BranchNet, our proprietary, integrated technology platform that is server-based and web-accessed.... (Filed With SEC on July 9, 2010)
- Thomson Transaction Services MASTER SUBSCRIPTION AGREEMENT (Filed With SEC on June 22, 2010)
- Enabling Technology. We provide our technology and service to advisors through BranchNet, our proprietary, integrated technology platform that is server-based and web-accessed.... (Filed With SEC on June 4, 2010)
- Enabling Technology. We provide our technology and service to advisors through BranchNet, our proprietary, integrated technology platform that is server-based and web-accessed.... (Filed With SEC on June 4, 2010)
- Enabling Technology. We provide our technology and service to advisors through BranchNet, our proprietary, integrated technology platform that is server-based and web-accessed.... (Filed With SEC on June 4, 2010)
- Enabling Technology. We provide our technology and service to advisors through BranchNet, our proprietary, integrated technology platform that is server-based and web-accessed.... (Filed With SEC on June 4, 2010)
- Enabling Technology. We provide our technology and service to advisors through BranchNet, our proprietary, integrated technology platform that is server-based and web-accessed.... (Filed With SEC on June 4, 2010)
- Enabling Technology. We provide our technology and service to advisors through BranchNet, our proprietary, integrated technology platform that is server-based and web-accessed.... (Filed With SEC on June 4, 2010)
- Enabling Technology. We provide our technology and service to advisors through BranchNet, our proprietary, integrated technology platform that is server-based and web-accessed.... (Filed With SEC on June 4, 2010)
- Enabling Technology. We provide our technology and service to advisors through BranchNet, our proprietary, integrated technology platform that is server-based and web-accessed.... (Filed With SEC on June 4, 2010)
- LPL Investment Holdings Inc. DIRECTOR RESTRICTED STOCK PLAN (Filed With SEC on May 7, 2010)
- FIFTH AMENDED AND RESTATED2000 STOCK BONUS PLAN LPL INVESTMENT HOLDINGS INC. (f/k/a BD INVESTMENT HOLDINGS INC.) amended and restatedeffective as of January 17, 2006 (Filed With SEC on December 18, 2008)
- LPLINVESTMENT HOLDINGS INC. 2008NONQUALIFIED DEFERRED COMPENSATION PLAN 1 (Filed With SEC on November 25, 2008)
- LPL Investment Holdings Inc. 2008 STOCK OPTION PLAN (Filed With SEC on February 21, 2008)