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Midas Edge

LPL Financial Holdings Inc.

For the period ended Sep 30, 2026. Filed Oct 29, 2026.

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About this filing

A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.

Sep 30, 2026 · Filed Oct 29, 2026

LPLA$305.49+3.4%Stored close · as of Nov 9, 2026

Extracted filing text, with the paragraph anchors used by the comparison.

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Contents

Item 6. Exhibits

3.1Second Amended and Restated Certificate of Incorporation of LPL Financial Holdings Inc., dated May 14, 2026 (incorporated by reference to the Form 10-Q filed on August 3, 2026, File No. 001-34963).
3.2Eighth Amended and Restated Bylaws of LPL Financial Holdings Inc. (incorporated by reference to the Form 10-Q filed on August 3, 2026, File No. 001-34963).
22.1List of Subsidiary Guarantors and Issuers of Guaranteed Securities.*
31.1Certification of the Chief Executive Officer pursuant to Rule 13a-14(a).*
31.2Certification of the Chief Financial Officer pursuant to Rule 13a-14(a).*
32.1Certification of the Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.**
32.2Certification of the Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.**
101.SCHInline XBRL Taxonomy Extension Schema*
101.CALInline XBRL Taxonomy Extension Calculation*
101.LABInline XBRL Taxonomy Extension Label*
101.PREInline XBRL Taxonomy Extension Presentation*
101.DEFInline XBRL Taxonomy Extension Definition*
104Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)
*Filed herewith.
**Furnished herewith.
ContentsView on SEC.gov

The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.