0000899243-23-005700.txt : 20230221 0000899243-23-005700.hdr.sgml : 20230221 20230221163448 ACCESSION NUMBER: 0000899243-23-005700 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230208 FILED AS OF DATE: 20230221 DATE AS OF CHANGE: 20230221 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jambusaria Aneri CENTRAL INDEX KEY: 0001966430 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 23648735 MAIL ADDRESS: STREET 1: C/O LPL FINANCIAL HOLDINGS INC. STREET 2: 4707 EXECUTIVE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LPL Financial Holdings Inc. CENTRAL INDEX KEY: 0001397911 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 203717839 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4707 EXECUTIVE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 800-877-7210 MAIL ADDRESS: STREET 1: 4707 EXECUTIVE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: LPL Investment Holdings Inc. DATE OF NAME CHANGE: 20070427 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2023-02-08 0 0001397911 LPL Financial Holdings Inc. LPLA 0001966430 Jambusaria Aneri C/O LPL FINANCIAL HOLDINGS INC. 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 0 1 0 0 Managing Director Common Stock 4128 D Consists of (i) 2,374 restricted stock units that vest on June 5, 2023; (ii) 860 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iii) 894 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. Vested shares will be issued to the Reporting Person as soon as practicable after the vesting date. The signatory is signing on behalf of Aneri Jambusaria pursuant to a Power of Attorney dated February 15, 2023, which is filed as Exhibit 24.1 to this filing. /s/ Gregory M. Woods, Attorney-in-Fact 2023-02-21 EX-24.1 2 attachment1.htm EX-24.1 DOCUMENT
                          SECTION 16 POWER OF ATTORNEY

       The undersigned hereby constitutes and appoints each of Gregory M. Woods
and Robert S. Hatfield III, with full power of substitution, as the
undersigned's true and lawful attorney-in-fact to:

       (1)   request U.S. Securities and Exchange Commission (the "SEC") EDGAR
             access codes on the undersigned's behalf, and to prepare and
             execute for and on behalf of the undersigned any documents
             necessary or appropriate to obtain codes and passwords enabling
             the undersigned to make electronic filings with the SEC of reports
             required by Section 16(a) of the Securities Exchange Act of 1934,
             as amended, or any rule or regulation of the SEC;

       (2)   execute for and on behalf of the undersigned, in the undersigned's
             capacity as an executive officer of LPL Financial Holdings Inc.
             (the "Company"), Forms 3, 4 and 5 in accordance with Section 16(a)
             of the Securities Exchange Act of 1934, as amended, and the rules
             thereunder;

       (3)   do and perform any and all acts for and on behalf of the
             undersigned that may be necessary or desirable to complete and
             execute any such Form 3, 4 or 5, complete and execute any amendment
             or amendments thereto, and timely file such form with the SEC and
             any stock exchange or similar authority; and

       (4)   take any other action of any type whatsoever in connection with the
             foregoing that, in the opinion of such attorney-in-fact, may be of
             benefit to, in the best interest of, or legally required by, the
             undersigned, it being understood that the documents executed by
             such attorney-in-fact on behalf of the undersigned pursuant to this
             Section 16 Power of Attorney shall be in such form and shall
             contain such terms and conditions as such attorney-in-fact may
             approve in such attorney-in-fact's discretion.

       The undersigned hereby grants each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that each such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted.  The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming,
nor is the Company assuming, any of the undersigned's responsibilities to comply
with Section 16 of the Securities Exchange Act of 1934, as amended.

       This Section 16 Power of Attorney shall remain in full force and effect
until the undersigned is no longer required to file Forms 3, 4 and 5, with
respect to the undersigned's holdings of and transactions in securities issued
by the Company, unless earlier revoked by the undersigned in a signed writing
delivered to foregoing attorneys-in-fact.


        IN WITNESS WHEREOF, the undersigned has caused this Section 16 Power of
Attorney to be executed as of this 15th day of  February, 2023.



                                          /s/ Aneri Jambusaria
                                          --------------------
                                          Aneri Jambusaria