LPL Financial Holdings Inc. Contracts & Agreements

119 Contracts & Agreements
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Filed
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
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
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
Description of Registrant's Securities
LPL Financial Holdings Inc.
Capital Markets
2025
Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan, as amended February 9, 2024
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
2025
Separation Agreement and General Release, dated December 8, 2024, between Dan H. Arnold and LPL Financial Holdings Inc
Separation Agreements
LPL Financial Holdings Inc.
Capital Markets
2025
LPL Financial Holdings Inc. Non-Employee Director Compensation Policy, as amended May 9, 2024
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
2024
LPL Financial Holdings Inc. Non-Employee Director Deferred Compensation Plan, as amended May 9, 2024
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
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
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
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
Description of Registrants Securities
LPL Financial Holdings Inc.
Capital Markets
2024
Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan, as amended February 9, 2024
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
2024
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
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
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
Description of Registrants Securities
LPL Financial Holdings Inc.
Capital Markets
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
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
2023
LPL Financial Holdings Inc. Non-Employee Director Compensation Policy
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
2022
LPL Financial Holdings Inc. Non-Employee Director Deferred Compensation Plan, as amended May 5, 2021
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2022
LPL Financial Holdings Inc. Non-Employee Director Compensation Policy, as amended May 5, 2021
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
2022
Form of Employee Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
2021
Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
2021
Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
2021
Form of Financial Institution Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
2021
Leave Letter Agreement between LPL Financial LLC and Scott Seese, dated February 25, 2021
LPL Financial Holdings Inc.
Capital Markets
2021
Form of Employee Restricted Stoc
LPL Financial Holdings Inc.
Capital Markets
2021
Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
2021
Form of Advisor Restricted Stock
Stock Agreements
LPL Financial Holdings Inc.
Capital Markets
2021
Form of Financial Institution Restricted Stock Unit Award granted under the LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan
Bonus & Incentive 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 Omnibus Equity Incentive Plan
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2021
LPL Financial Holdings Inc. 2021 Employee Stock Purchase Plan
Stock Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2021
BETA Services First Amended and Restated Master Subscription Agreement, dated as of January 29, 2021, between LPL Financial LLC and Refinitiv US LLC
Services Agreements
LPL Financial Holdings Inc.
Capital Markets
CA
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
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
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
Description of Registrants Securities
LPL Financial Holdings Inc.
Capital Markets
2020
LPL Financial Holdings Inc. Non-Employee Director Compensation Policy
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
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
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
Thomson Transaction Services Master Subscription Agreement dated as of January 5, 2009 between LPL Financial Corporation and Thomson Financial LLC, as amended
Services Agreements
LPL Financial Holdings Inc.
Capital Markets
NY
2019
LPL Financial Holdings Inc. Non-Employee Director Compensation Policy
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
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
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
AMENDMENT AGREEMENT
LPL Financial Holdings Inc.
Capital Markets
NY
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
EMPLOYEE STOCK OPTION AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2017
EMPLOYEE RESTRICTED STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2017
LPL FINANCIAL LLC EXECUTIVE SEVERANCE PLAN Amended and Restated as of February 23, 2017
Severance Agreements
LPL Financial Holdings Inc.
Capital Markets
MA
2017
EMPLOYEE PERFORMANCE STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2017
LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
2017
LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
2016
LPL FINANCIAL HOLDINGS, INC. NON-EMPLOYEE DIRECTOR DEFERRED COMPENSATION PLAN
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2016
EARLY SETTLEMENT AGREEMENT
Settlement Agreements
LPL Financial Holdings Inc.
Capital Markets
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...
Stock Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2015
LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
2015
LPL FINANCIAL HOLDINGS INC. AMENDED AND RESTATED 2010 OMNIBUS EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2015
LPL FINANCIAL HOLDINGS INC. AMENDED AND RESTATED CORPORATE EXECUTIVE BONUS PLAN Adopted by the Board of Directors on March 3, 2015
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2015
FIRST AMENDMENT TO STOCKHOLDERS AGREEMENT
LPL Financial Holdings Inc.
Capital Markets
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...
LPL Financial Holdings Inc.
Capital Markets
2014
LPL FINANCIAL HOLDINGS INC. Non-Employee Director Compensation Policy
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
2014
EMPLOYEE STOCK OPTION AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2014
EMPLOYEE RESTRICTED STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2014
ADVISOR RESTRICTED STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2014
FINANCIAL INSTITUTION RESTRICTED STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2014
LPL FINANCIAL LLC EXECUTIVE SEVERANCE PLAN Amended and Restated as of February 24, 2014
Severance Agreements
LPL Financial Holdings Inc.
Capital Markets
MA
2014
SUPPLEMENTAL EXECUTIVE RESTRICTED STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2014
STOCK REPURCHASE AGREEMENT
Repurchase Agreements
LPL Financial Holdings Inc.
Capital Markets
2014
PERSONAL & CONFIDENTIAL
LPL Financial Holdings Inc.
Capital Markets
MA
2013
AMENDMENT AND WAIVER TO MANAGEMENT STOCKHOLDERS' AGREEMENT
Waiver Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2013
LPL FINANCIAL HOLDINGS INC. 2010 OMNIBUS EQUITY INCENTIVE PLAN Revenue Award Agreement
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2013
LPL FINANCIAL HOLDINGS INC. 2010 OMNIBUS EQUITY INCENTIVE PLAN EBITDA Award Agreement
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2013
EMPLOYMENT AGREEMENT
Employment Agreements
LPL Financial Holdings Inc.
Capital Markets
NC
2013
SENIOR EXECUTIVE STOCK OPTION AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2013
SENIOR MANAGEMENT STOCK OPTION AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2013
SENIOR EXECUTIVE RESTRICTED STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2013
SENIOR MANAGEMENT RESTRICTED STOCK UNIT AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
2013
RESTRICTED STOCK AWARD granted under the LPL Financial Holdings Inc. 2010 OMNIBUS EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
2012
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
AMENDMENT TO THE LPL INVESTMENT HOLDINGS INC. 2008 NONQUALIFIED DEFERRED COMPENSATION PLAN
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
2012
Exhibit No
LPL Financial Holdings Inc.
Capital Markets
2011
comprehensive account lookup for accounts and direct business data
LPL Financial Holdings Inc.
Capital Markets
DE
2011
comprehensive account lookup for accounts and direct business data
LPL Financial Holdings Inc.
Capital Markets
DE
2011
comprehensive account lookup for accounts and direct business data
LPL Financial Holdings Inc.
Capital Markets
DE
2011
comprehensive account lookup for accounts and direct business data
LPL Financial Holdings Inc.
Capital Markets
MA
2011
comprehensive account lookup for accounts and direct business data
LPL Financial Holdings Inc.
Capital Markets
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....
LPL Financial Holdings Inc.
Capital Markets
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....
LPL Financial Holdings Inc.
Capital Markets
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....
LPL Financial Holdings Inc.
Capital Markets
2010
FIRST AMENDMENT TO STOCKHOLDERS AGREEMENT
LPL Financial Holdings Inc.
Capital Markets
DE
2010
STOCKHOLDERS AGREEMENT
LPL Financial Holdings Inc.
Capital Markets
DE
2010
MANAGEMENTSTOCKHOLDERS AGREEMENT
Management Agreements
LPL Financial Holdings Inc.
Capital Markets
DE
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...
Security Agreements
LPL Financial Holdings Inc.
Capital Markets
2010
AGREEMENT
LPL Financial Holdings Inc.
Capital Markets
MA
2010
AGREEMENT
LPL Financial Holdings Inc.
Capital Markets
MA
2010
AGREEMENT
LPL Financial Holdings Inc.
Capital Markets
MA
2010
AGREEMENT
LPL Financial Holdings Inc.
Capital Markets
MA
2010
AGREEMENT
LPL Financial Holdings Inc.
Capital Markets
MA
2010
LPL FINANCIAL CORPORATION EXECUTIVE SEVERANCE PLAN
Severance Agreements
LPL Financial Holdings Inc.
Capital Markets
MA
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....
LPL Financial Holdings Inc.
Capital Markets
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....
LPL Financial Holdings Inc.
Capital Markets
DE
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....
LPL Financial Holdings Inc.
Capital Markets
DE
2010
Thomson Transaction Services MASTER SUBSCRIPTION AGREEMENT
Services Agreements
LPL Financial Holdings Inc.
Capital Markets
NY
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....
LPL Financial Holdings Inc.
Capital Markets
NC
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....
LPL Financial Holdings Inc.
Capital Markets
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....
LPL Financial Holdings Inc.
Capital Markets
MA
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....
LPL Financial Holdings Inc.
Capital Markets
MA
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....
LPL Financial Holdings Inc.
Capital Markets
MA
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....
LPL Financial Holdings Inc.
Capital Markets
MA
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....
LPL Financial Holdings Inc.
Capital Markets
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....
LPL Financial Holdings Inc.
Capital Markets
2010
LPL Investment Holdings Inc. DIRECTOR RESTRICTED STOCK PLAN
Stock Agreements
LPL Financial Holdings Inc.
Capital Markets
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
Bonus & Incentive Agreements
LPL Financial Holdings Inc.
Capital Markets
2008
LPLINVESTMENT HOLDINGS INC. 2008NONQUALIFIED DEFERRED COMPENSATION PLAN 1
Compensation Agreements
LPL Financial Holdings Inc.
Capital Markets
2008
LPL Investment Holdings Inc. 2008 STOCK OPTION PLAN
Stock Agreements
LPL Financial Holdings Inc.
Capital Markets
2008