LPL Financial LLC

LPL Financial LLC, a CA Limited Liability Company, is a major player in the financial industry with 22,790 employees serving over 357,000 clients. More than half of its employees are in advisory roles, emphasizing the firm's dedication to providing top-notch financial services and advice. As a testament to its reputation and quality services, LPL Financial LLC is listed as SEC-approved with a registration date of Aug 25, 1975.

• DAN JR ARNOLD

  PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR owns less than 5%

• DAYTON JOHN SEMERJIAN

  MANAGING DIRECTOR, CHIEF CUSTOMER CARE OFFICER owns less than 5%

• GEORGE BURTON WHITE

  MANAGING DIRECTOR, INVESTOR & INVESTMENT SOLUTIONS owns less than 5%

• JOHN ANDREW KALBAUGH

  MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, NATIONAL SALES & CONSULTING owns less than 5%

• JOHN HUGH O'NEILL

  SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE owns less than 5%

• KATHERINE DAILEY RING

  SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ADVISORY owns less than 5%

• LPL HOLDINGS, INC.

  MANAGING MEMBER owns 75% or more

• MATTHEW J PECHULIS

  SENIOR VICE PRESIDENT, ACCOUNTING AND PRINCIPAL FINANCIAL OFFICER owns less than 5%

• MATTHEW JON AUDETTE

  MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER AND DIRECTOR owns less than 5%

• MICHELLE OROSCHAKOFF

  MANAGING DIRECTOR, CHIEF LEGAL OFFICER AND DIRECTOR owns less than 5%

• RICHARD C STEINMEIER

  MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, BUSINESS DEVELOPMENT owns less than 5%

• SALLIE REBECCA LARSEN

  MANAGING DIRECTOR, CHIEF HUMAN CAPITAL OFFICER owns less than 5%

• SCOTT ALAN SEESE

  MANAGING DIRECTOR, CHIEF INFORMATION OFFICER owns less than 5%

• TRACY ELLEN CALDER

  MANAGING DIRECTOR, CHIEF RISK OFFICER owns less than 5%

• WILLIAM E WALCHER

  SENIOR VICE PRESIDENT, TRADING AND PRINCIPAL OPERATIONS OFFICER owns less than 5%

• LPL FINANCIAL HOLDINGS INC.

  PARENT COMPANY owns 75% or more

• P/E Global LLC
• Ballyrock Investment Advisors LLC
• NYES Ledge Capital Management LLC
• Capital Impact Advisors LLC
• BV Investment Partners LP
• John Hancock Advisers LLC
• Tekla Capital Management LLC
• Brooknoll Advisors LLC
• TA Associates Management LP
• TAC Partners Inc

• Investing in Q3 2022 vs Q4 2022: Analyzing the Changing Holdings of LPL Financial LLC