# EDGAR Filing Document

**Accession Number:** 0001397911
**File Stem:** 0001193125-23-085639
**Filing Date:** 2023-3
**Character Count:** 7265
**Document Hash:** 4b7925349347761afbee57bb2d60635f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-085639.hdr.sgml**: 20230330

**ACCESSION NUMBER**: 0001193125-23-085639

**CONFORMED SUBMISSION TYPE**: DEFA14A

**PUBLIC DOCUMENT COUNT**: 5

**FILED AS OF DATE**: 20230330

**DATE AS OF CHANGE**: 20230330

**FILER**: 

**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

**FILING VALUES:**
- **FORM TYPE:** DEFA14A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-34963
- **FILM NUMBER:** 23781163

**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

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549** 

**SCHEDULE 14A** 

Proxy Statement Pursuant to Section 14(a) of

the Securities Exchange Act of 1934 (Amendment No.)

Filed by the Registrant ☒

Filed by a Party other than the Registrant ☐

Check the appropriate box:

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| | |
|:---|:---|
| ☐ | Preliminary Proxy Statement |
| ☐ | Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
| ☐ | Definitive Proxy Statement |
| ☒ | Definitive Additional Materials |
| ☐ | Soliciting Material under §240.14a-12 |
| <br> **LPL Financial Holdings Inc.** | <br> **LPL Financial Holdings Inc.** |

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(Name of Registrant as Specified In Its Charter)

(Name of Person(s) Filing Proxy Statement, if other than the Registrant)

Payment of Filing Fee (Check all boxes that apply):

☒ No fee required.

☐ Fee paid previously with preliminary materials

☐ Fee computed on table in exhibit required by Item 25(b) per Exchange Act Rules 14a-6(i)(1) and 0-11

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| | |
|:---|:---|
|  | <br> Your **Vote** Counts! |
| | <br> **LPL FINANCIAL HOLDINGS INC.**<br>2023 Annual Meeting of Stockholders<br> &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Vote by May 10, 2023 <br> 11:59 PM Eastern Time |
| | ![LOGO](g428387dsp02.jpg)  |
| | ![LOGO](g428387dsp02.jpg)  |
| | ![LOGO](g428387dsp02.jpg)  |
|  | ![LOGO](g428387dsp02.jpg)  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;LPL FINANCIAL HOLDINGS INC.<br>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1055 LPL WAY<br>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;FORT MILL, SOUTH CAROLINA 29715 | ![LOGO](g428387dsp02.jpg)  |
|  | ![LOGO](g428387dsp02.jpg)  |
|  | ![LOGO](g428387dsp02.jpg)  |
|  | ![LOGO](g428387dsp02.jpg)  |
|  | ![LOGO](g428387dsp02.jpg)  |
|  | ![LOGO](g428387dsp02.jpg)  |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;V04926-P89934 |  |

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You invested in LPL FINANCIAL HOLDINGS INC. and it's time to vote!

You have the right to vote on proposals being presented at the annual meeting. **This is an important notice regarding the availability of proxy materials for the 2023 annual meeting of stockholders to be held on May 11, 2023.**

Get informed before you vote

View the Notice, Proxy Statement and Annual Report online, OR you can receive a free paper or email copy of the materials by requesting them prior to April 27, 2023. If you would like to request a copy of the materials for this or future stockholder meetings, you may (1) visit www.ProxyVote.com, (2) call 1-800-579-1639 or (3) send an email to sendmaterial@proxyvote.com. If sending an email, please include your control number (indicated below) in the subject line. Unless requested, you will not receive a paper or email copy.

![LOGO](g428387dsp4_.jpg)

\*Please check the meeting materials for any special requirements for meeting attendance. At the meeting, you will need to request a ballot to vote these shares.

V1.1

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&nbsp;&nbsp;&nbsp;&nbsp;**Vote at www.ProxyVote.com** 

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&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp;&nbsp;&nbsp;**THIS IS NOT A VOTABLE BALLOT**<br>This is an overview of the proposals being presented at the<br> upcoming 2023 annual meeting of stockholders. Please follow<br> the instructions on the reverse side to vote on these important<br> matters.<br>

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| | | |
|:---|:---|:---|
| **Voting Items** | **Voting Items** | |
| 1. | Elect the ten nominees named in the proxy statement to the Board of Directors of LPL Financial Holdings Inc. (the "Company").<br>**Nominees:**<br>1a. Dan H. Arnold | **Board**<br> **Recommends**<br>**![LOGO](g428387dsp03a.jpg) For** |
|  | 1b. Edward C. Bernard | **![LOGO](g428387dsp03a.jpg) For** |
|  | 1c. H. Paulett Eberhart | **![LOGO](g428387dsp03a.jpg) For** |
|  | 1d. William F. Glavin Jr. | **![LOGO](g428387dsp03a.jpg) For** |
|  | 1e. Albert J. Ko | **![LOGO](g428387dsp03a.jpg) For** |
|  | 1f. Allison H. Mnookin | **![LOGO](g428387dsp03a.jpg) For** |
|  | 1g. Anne M. Mulcahy | **![LOGO](g428387dsp03a.jpg) For** |
|  | 1h. James S. Putnam | **![LOGO](g428387dsp03a.jpg) For** |
|  | 1i. Richard P. Schifter | **![LOGO](g428387dsp03a.jpg) For** |
|  | 1j. Corey E. Thomas | **![LOGO](g428387dsp03a.jpg) For** |
| 2. | Ratify the appointment of Deloitte & Touche LLP by the Audit and Risk Committee of the Board of Directors as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2023. | **![LOGO](g428387dsp03a.jpg) For** |
| 3. | Approve, in an advisory vote, the compensation paid to the Company's named executive officers. | **![LOGO](g428387dsp03a.jpg) For** |
| 4. | Approve, in an advisory vote, the frequency of future advisory votes on the compensation paid to the Company's named executive officers. | **![LOGO](g428387dsp005c.jpg) Year** |
| **NOTE:** Such other business as may properly come before the meeting or any adjournment thereof will be voted on by the proxy holders in their discretion. | **NOTE:** Such other business as may properly come before the meeting or any adjournment thereof will be voted on by the proxy holders in their discretion. |  |

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 Prefer to receive an email instead? While voting on www.ProxyVote.com, be sure to click "Sign up for E-delivery".<br>

V04927-P89934