LPL Financial (LPLA) — insider trading
Financials · NASDAQ
LPL Financial (LPLA) has 50 reported SEC Form 4 insider transactions in our data, including 15 open-market sales among the most recent 50 (latest 2026-09-11).
Recent Form 4 transactions
| Date | Insider | Role | Type | Shares | Price | Value | Filing |
|---|---|---|---|---|---|---|---|
| 2026-09-11 | Reeping Katharine | Officer (Principal Accounting Officer) | Open-market sale | 440 | $347.88 | $153.0K | Form 4 |
| 2026-09-05 | Field Emily | Officer (Group Managing Director) | Shares withheld for taxes / exercise cost | 106 | $359.33 | $38.1K | Form 4 |
| 2026-08-28 | BERNARD EDWARD C | Director | Grant / award / vesting | 3 | — | $0 | Form 4 |
| 2026-08-28 | EBERHART PAULETT | Director | Grant / award / vesting | 4 | — | $0 | Form 4 |
| 2026-08-28 | Glavin William Francis Jr | Director | Grant / award / vesting | 10 | — | $0 | Form 4 |
| 2026-08-28 | Mnookin Allison | Director | Grant / award / vesting | 2 | — | $0 | Form 4 |
| 2026-08-28 | Putnam James S | Director | Grant / award / vesting | 7 | — | $0 | Form 4 |
| 2026-08-28 | SCHIFTER RICHARD P | Director | Grant / award / vesting | 14 | — | $0 | Form 4 |
| 2026-08-28 | Thomas Corey E. | Director | Grant / award / vesting | 4 | — | $0 | Form 4 |
| 2026-08-27 | Jambusaria Aneri | Officer (Group Managing Director) | Open-market sale | 308 | $357.36 | $110.1K | Form 4 |
| 2026-08-20 | Gates Greg | Officer (Group Managing Director) | Option exercise / conversion (derivative) | 7,189 | — | $0 | Form 4 |
| 2026-08-20 | Gates Greg | Officer (Group Managing Director) | Open-market sale | 4,119 | $355.38 | $1.46M | Form 4 |
| 2026-08-20 | Gates Greg | Officer (Group Managing Director) | Option exercise / conversion | 7,189 | $77.53 | $557.4K | Form 4 |
| 2026-08-03 | Putnam James S | Director | Bona fide gift | 2,000 | — | $0 | Form 4 |
| 2026-07-31 | Enyedi Matthew | Officer (Group Managing Director) | Open-market sale | 1 | $355.51 | $356 | Form 4 |
| 2026-07-31 | Enyedi Matthew | Officer (Group Managing Director) | Open-market sale | 51 | $354.52 | $18.1K | Form 4 |
| 2026-07-31 | Enyedi Matthew | Officer (Group Managing Director) | Open-market sale | 296 | $353.37 | $104.6K | Form 4 |
| 2026-07-31 | Enyedi Matthew | Officer (Group Managing Director) | Open-market sale | 463 | $352.77 | $163.3K | Form 4 |
| 2026-07-31 | Enyedi Matthew | Officer (Group Managing Director) | Open-market sale | 189 | $351.06 | $66.4K | Form 4 |
| 2026-06-17 | Jambusaria Aneri | Officer (Group Managing Director) | Open-market sale | 308 | $306.00 | $94.2K | Form 4 |
| 2026-06-12 | Cohen Marc Eliot | Officer (Group Managing Director) | Shares withheld for taxes / exercise cost | 44 | $295.66 | $13.0K | Form 4 |
| 2026-06-12 | Gates Greg | Officer (Group Managing Director) | Shares withheld for taxes / exercise cost | 232 | $295.66 | $68.6K | Form 4 |
| 2026-06-04 | BERNARD EDWARD C | Director | Grant / award / vesting | 4 | — | $0 | Form 4 |
| 2026-06-04 | EBERHART PAULETT | Director | Grant / award / vesting | 5 | — | $0 | Form 4 |
| 2026-06-04 | Glavin William Francis Jr | Director | Grant / award / vesting | 15 | — | $0 | Form 4 |
| 2026-06-04 | Mnookin Allison | Director | Grant / award / vesting | 3 | — | $0 | Form 4 |
| 2026-06-04 | Putnam James S | Director | Grant / award / vesting | 10 | — | $0 | Form 4 |
| 2026-06-04 | SCHIFTER RICHARD P | Director | Grant / award / vesting | 19 | — | $0 | Form 4 |
| 2026-06-04 | Thomas Corey E. | Director | Grant / award / vesting | 7 | — | $0 | Form 4 |
| 2026-05-15 | BERNARD EDWARD C | Director | Grant / award / vesting | 348 | — | $0 | Form 4 |
| 2026-05-15 | BERNARD EDWARD C | Director | Grant / award / vesting | 712 | — | $0 | Form 4 |
| 2026-05-15 | EBERHART PAULETT | Director | Grant / award / vesting | 712 | — | $0 | Form 4 |
| 2026-05-15 | Glavin William Francis Jr | Director | Grant / award / vesting | 712 | — | $0 | Form 4 |
| 2026-05-15 | Khanna Somesh | Director | Grant / award / vesting | 712 | — | $0 | Form 4 |
| 2026-05-15 | Ko Albert J | Director | Grant / award / vesting | 712 | — | $0 | Form 4 |
| 2026-05-15 | Mnookin Allison | Director | Grant / award / vesting | 712 | — | $0 | Form 4 |
| 2026-05-15 | MULCAHY ANNE M | Director | Grant / award / vesting | 348 | — | $0 | Form 4 |
| 2026-05-15 | MULCAHY ANNE M | Director | Grant / award / vesting | 712 | — | $0 | Form 4 |
| 2026-05-15 | Putnam James S | Director | Grant / award / vesting | 712 | — | $0 | Form 4 |
| 2026-05-15 | SCHIFTER RICHARD P | Director | Grant / award / vesting | 348 | — | $0 | Form 4 |
| 2026-05-15 | SCHIFTER RICHARD P | Director | Grant / award / vesting | 712 | — | $0 | Form 4 |
| 2026-05-15 | Thomas Corey E. | Director | Grant / award / vesting | 348 | — | $0 | Form 4 |
| 2026-05-15 | Thomas Corey E. | Director | Grant / award / vesting | 712 | — | $0 | Form 4 |
| 2026-05-07 | Putnam James S | Director | Bona fide gift | 100 | — | $0 | Form 4 |
| 2026-04-15 | Audette Matthew J | Officer (President and CFO) | Open-market sale | 106 | $332.27 | $35.2K | Form 4 |
| 2026-04-15 | Audette Matthew J | Officer (President and CFO) | Open-market sale | 595 | $331.09 | $197.0K | Form 4 |
| 2026-04-15 | Audette Matthew J | Officer (President and CFO) | Open-market sale | 189 | $328.34 | $62.1K | Form 4 |
| 2026-04-15 | Audette Matthew J | Officer (President and CFO) | Open-market sale | 220 | $327.45 | $72.0K | Form 4 |
| 2026-04-14 | Audette Matthew J | Officer (President and CFO) | Open-market sale | 139 | $326.16 | $45.3K | Form 4 |
| 2026-04-14 | Audette Matthew J | Officer (President and CFO) | Open-market sale | 330 | $325.00 | $107.3K | Form 4 |
Ask the chat about LPLA's insider activity →
Transaction types are the SEC Form 4 codes: open-market purchases (P) and sales (S) are the only rows that reflect open-market conviction. Awards/vesting (A), option exercises (M/X/C), shares withheld for taxes (F) and gifts (G) are compensation or mechanical, not buying or selling on the open market. Sales may be planned and non-discretionary (e.g. a Rule 10b5-1 plan); open-market buying is not a recommendation to buy. Informational only — not financial advice.
Source: SEC EDGAR Form 3/4/5. See the full company profile: LPL Financial (LPLA).
Last updated 2026-09-11 (most recent filing date).
Informational only — NOT financial advice. Insider filings are sourced from SEC EDGAR and shown with their reported dates.