# EDGAR Filing Document

**Accession Number:** 0001397911
**File Stem:** 0001193125-26-140089
**Filing Date:** 2026-4
**Character Count:** 5588
**Document Hash:** 9c21cd2d8c07554f2756c06c3ea6063a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-26-140089.hdr.sgml**: 20260402

**ACCESSION NUMBER**: 0001193125-26-140089

**CONFORMED SUBMISSION TYPE**: DEFA14A

**PUBLIC DOCUMENT COUNT**: 3

**FILED AS OF DATE**: 20260402

**DATE AS OF CHANGE**: 20260402

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** LPL Financial Holdings Inc.
- **CENTRAL INDEX KEY:** 0001397911
- **STANDARD INDUSTRIAL CLASSIFICATION:** SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200]
- **ORGANIZATION NAME:** 09 Crypto Assets
- **EIN:** 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:** 26833505

**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)

 <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;

(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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![LOGO](g18224g50y01.jpg)

Your Vote Counts! LPL FINANCIAL HOLDINGS INC. 2026 Annual Meeting of Stockholders Vote by May 13, 2026 11:59 PM Eastern Time LPL FINANCIAL HOLDINGS INC. 1055 LPL WAY FORT MILL, SOUTH CAROLINA 29715 V85878-P41760 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 2026 Annual Meeting of stockholders to be held on May 14, 2026. Get informed before you vote View the Notice and Proxy Statement and Annual Report on Form 10-K online, OR you can receive a free paper or email copy of the materials by requesting them prior to April 30, 2026. 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. For complete information and to vote, visit www.ProxyVote.com Control # Smartphone users Vote in Person at the Meeting\* Point your camera here and May 14, 2026 8:00 AM Eastern Time vote without entering a control number LPL Financial Holdings Inc. 1055 LPL Way Fort Mill, SC 29715 \*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.

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![LOGO](g18224g50y02.jpg)

Vote at www.ProxyVote.com THIS IS NOT A VOTABLE BALLOT This is an overview of the proposals being presented at the upcoming 2026 Annual Meeting of stockholders. Please follow the instructions on the reverse side to vote on these important matters. Board Voting Items Recommends 1. Elect the eleven nominees named in the proxy statement to the Board of Directors of LPL Financial Holdings Inc. (the "Company"). Nominees: 1a. Edward C. Bernard For 1b. H. Paulett Eberhart For 1c. William F. Glavin Jr. For 1d. Somesh Khanna For 1e. Albert J. Ko For 1f. Allison H. Mnookin For 1g. Anne M. Mulcahy For 1h. James S. Putnam For 1i. Richard P. Schifter For 1j. Richard Steinmeier For 1k. Corey E. Thomas For 2. Ratify the appointment of Deloitte & Touche LLP by the Audit and Risk Committee of the Board of Directors as the For Company's independent registered public accounting firm for the fiscal year ending December 31, 2026. 3. Approve, in an advisory vote, the compensation paid to the Company's named executive officers. For 4. Adopt an amendment and restatement of the Company's Amended and Restated Certificate of Incorporation, as amended (the "Charter"), to eliminate supermajority voting requirements, eliminate obsolete provisions and make For certain non-substantive changes. 5. Adopt amendments to the Charter to provide for officer exculpation. For 6. Adopt amendments to the Charter to remove the corporate opportunities provision. For 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. Prefer to receive an email instead? While voting on www.ProxyVote.com, be sure to click "Delivery Settings". V85879-P41760