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Published mark

LPL Financial Holdings Inc.

NASDAQ: LPLA. Canonical company identity and public leadership record.

US

Record source reportedRecord not claimedNo Eval published
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Alpha ID
alpha:company:aa591111-f580-4dfc-b408-646c64627533
SEC CIK
0001397911
Record version
vpublic-1:d751713988987e9331980363e24189ce:ro-d751713988987e9331980363e24189ce, published Oct 15, 2026
Newest evidence
Apr 2, 2026
Monitoring
Not yet monitored Details
Integrity
Not yet signed Methodology
CEO
Richard SteinmeierSince Feb 23, 2026
Chair
Not published
Independent
10 / 1111 directors published
Published claims
483 distinct sources
Evidence records
110 pinned
Source conflicts
0None open

Built from 3 distinct sources and 11 evidence records. Every Claim links to where it appears. Where nothing was published, the record states the coverage gap.

CorroboratedSource reportedAlpha inferenceNot disclosed

Public record. Alpha publishes governance facts about this organization from regulatory filings and company statements. Private enterprise overlay data is never projected here. The company can claim the record, correct, or dispute any Claim. How this works

EXECUTIVE APPOINTED

Aneri Jambusaria executive of LPL Financial Holdings Inc., effective 2026-02-23.

EffectiveEffective Feb 23, 2026E3

Monitoring

Continuous

What the published record states about identity, evidence, evaluation, monitoring, authority, and freshness. Watched-source schedules are not published for this record.

  • Identityunclaimed
    Published
  • Evidencesource_reported
    Published
  • Evaluationnot_evaluated
    Published
  • MonitoringNot yet published for this record.
    Not published
  • AuthorityNot yet published for this record.
    Not published
  • Freshnesscurrent
    Published

Leadership

Evidence
RolePersonSinceStatusClaim
Group Managing Director, Chief Wealth OfficerAneri JambusariaFeb 2026currentSource reportedE3
Group Managing Director, Chief People OfficerEmily FieldFeb 2026currentSource reportedE4
Group Managing Director, Chief Technology Information OfficerGreg GatesFeb 2026currentSource reportedE5
President and Chief Financial OfficerMatthew AudetteFeb 2026currentSource reportedE6
Group Managing Director, Chief Client OfficerMatthew EnyediFeb 2026currentSource reportedE7
Group Managing Director, Chief Legal OfficerMatthew MorningstarFeb 2026currentSource reportedE8
Group Managing Director, Chief Growth OfficerMitchell CohenFeb 2026currentSource reportedE9
Chief Executive OfficerRichard SteinmeierFeb 2026currentSource reportedE10

Board of directors

Evidence

11 directors published. 10 of 11 with a published determination are independent.

DirectorStatusSinceCommitteesClaim
Albert J. KoIndependent2023AuditAudit; RiskRiskSource reportedE2
Allison H. MnookinIndependent2018Compensation, chairCompensation · Chair; Nominating and GovernanceNominating and GovernanceSource reportedE2
Anne M. MulcahyIndependent2013Nominating and Governance, chairNominating and Governance · ChairSource reportedE2
Corey E. ThomasIndependent2019AuditAudit; Nominating and Governance; RiskNominating and GovernanceRiskSource reportedE2
Edward C. BernardIndependent2020AuditAudit; Compensation; RiskCompensationRiskSource reportedE2
H. Paulett EberhartIndependent2014Audit, chairAudit · Chair; Compensation; RiskCompensationRiskSource reportedE2
James S. PutnamIndependent2005CompensationSource reportedE2
Richard P. SchifterIndependent2005AuditAudit; RiskRiskSource reportedE2
Richard SteinmeierNot independent2024None publishedSource reportedE2
Somesh KhannaIndependent2026Nominating and GovernanceSource reportedE2
William F. Glavin, Jr.Independent2017CompensationCompensation; Nominating and GovernanceNominating and GovernanceSource reportedE2

Committees and risk ownership

Evidence
CommitteeChairMembersRisks assigned
AuditH. Paulett EberhartH. Paulett Eberhart, Albert J. Ko, Corey E. Thomas, Edward C. Bernard, Richard P. SchifterNot described in the published record
Audit · Chair; Compensation; RiskNot publishedH. Paulett EberhartNot described in the published record
Audit; Compensation; RiskNot publishedEdward C. BernardNot described in the published record
Audit; Nominating and Governance; RiskNot publishedCorey E. ThomasNot described in the published record
Audit; RiskNot publishedAlbert J. Ko, Richard P. SchifterNot described in the published record
CompensationAllison H. MnookinAllison H. Mnookin, Edward C. Bernard, H. Paulett Eberhart, James S. Putnam, William F. Glavin, Jr.Not described in the published record
Compensation · Chair; Nominating and GovernanceNot publishedAllison H. MnookinNot described in the published record
Compensation; Nominating and GovernanceNot publishedWilliam F. Glavin, Jr.Not described in the published record
Nominating and GovernanceAnne M. MulcahyAnne M. Mulcahy, Allison H. Mnookin, Corey E. Thomas, Somesh Khanna, William F. Glavin, Jr.Not described in the published record
Nominating and Governance · ChairNot publishedAnne M. MulcahyNot described in the published record
RiskNot publishedAlbert J. Ko, Corey E. Thomas, Edward C. Bernard, H. Paulett Eberhart, Richard P. SchifterNot described in the published record
Committee RecordAudit: Chair H. Paulett Eberhart; Members H. Paulett Eberhart (Chair); Albert J. Ko; Corey E. Thomas; Edward C. Bernard; Richard P. Schifter
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_record:25
Committee AppointmentH. Paulett Eberhart: chair, Audit
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:26
Committee AppointmentAlbert J. Ko: member, Audit
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:27
Committee AppointmentCorey E. Thomas: member, Audit
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:28
Committee AppointmentEdward C. Bernard: member, Audit
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:29
Committee AppointmentRichard P. Schifter: member, Audit
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:30
Committee RecordCompensation: Chair Allison H. Mnookin; Members Allison H. Mnookin (Chair); Edward C. Bernard; H. Paulett Eberhart; James S. Putnam; William F. Glavin, Jr.
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_record:31
Committee AppointmentAllison H. Mnookin: chair, Compensation
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:32
Committee AppointmentEdward C. Bernard: member, Compensation
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:33
Committee AppointmentH. Paulett Eberhart: member, Compensation
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:34
Committee AppointmentJames S. Putnam: member, Compensation
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:35
Committee AppointmentWilliam F. Glavin, Jr.: member, Compensation
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:36
Committee RecordNominating and Governance: Chair Anne M. Mulcahy; Members Anne M. Mulcahy (Chair); Allison H. Mnookin; Corey E. Thomas; Somesh Khanna; William F. Glavin, Jr.
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_record:37
Committee AppointmentAnne M. Mulcahy: chair, Nominating and Governance
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:38
Committee AppointmentAllison H. Mnookin: member, Nominating and Governance
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:39
Committee AppointmentCorey E. Thomas: member, Nominating and Governance
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:40
Committee AppointmentSomesh Khanna: member, Nominating and Governance
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:41
Committee AppointmentWilliam F. Glavin, Jr.: member, Nominating and Governance
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:42
Committee RecordRisk: Chair not stated; Members Albert J. Ko; Corey E. Thomas; Edward C. Bernard; H. Paulett Eberhart; Richard P. Schifter
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_record:43
Committee AppointmentAlbert J. Ko: member, Risk
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:44
Committee AppointmentCorey E. Thomas: member, Risk
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:45
Committee AppointmentEdward C. Bernard: member, Risk
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:46
Committee AppointmentH. Paulett Eberhart: member, Risk
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:47
Committee AppointmentRichard P. Schifter: member, Risk
Source reportedE11
company:aa591111-f580-4dfc-b408-646c64627533:committee_appointment:48

Control and voting power

Evidence

No published claims

Nothing is published for this section yet. A missing Claim is a coverage state, not a negative finding.

Authority to act

Evidence and agent registry

Who can act for the company, and on whose authority. This is what a counterparty's agent checks before it accepts an order, signs, or pays.

Principal executive officerRichard Steinmeier, Chief Executive Officer, from Feb 23, 2026
Source reportedE10
company:aa591111-f580-4dfc-b408-646c64627533:leadership_role:24
Who can authorize an agentNot assessedNo Alpha inference about signing authority or board-reserved matters is published for this record.
Not assessed
bind
AI agents registered by the companyNot registered in the public RegistryAgent Deployments, Agent Use Cases, Authority Grants, TrustChecks, Action Ledger entries and Governance Receipts live in the private enterprise overlay. They are never projected into the public Registry without explicit cross-plane authorization. Absence here is a plane boundary, not evidence that the enterprise operates no agents.
Agent registry
agents
Delegations publishedNot disclosedBoard and officer delegation resolutions are not public filings and are not published in this record.
Search scope
delegations

Financials and market context

Evidence
Security ListingLPLA (NASDAQ)
Source reportedE1
company:aa591111-f580-4dfc-b408-646c64627533:security_listing:49
Index membershipsNo current membership is published in Alpha's tracked index universe.This is not evidence that the company is absent from every market index.
None publishedAs of Oct 16, 2026. Rights-filtered public evidence only; no redistribution or model training is granted. Only source-backed memberships with an explicit public redistribution basis are returned.

Governance and policies

Evidence

No published claims

Nothing is published for this section yet. A missing Claim is a coverage state, not a negative finding.

Risk, audit, and cyber

Evidence

No published claims

Nothing is published for this section yet. A missing Claim is a coverage state, not a negative finding.

AI oversight and accountability

Evidence

No published claims

Nothing is published for this section yet. A missing Claim is a coverage state, not a negative finding.

Compensation

Evidence

No published claims

Nothing is published for this section yet. A missing Claim is a coverage state, not a negative finding.

Other published claims

Evidence

Published Claims that belong to no section above. Each keeps its permalink, evidence, and assertion state.

Legal NameLPL Financial Holdings Inc.
Source reportedE1
company:aa591111-f580-4dfc-b408-646c64627533:legal_name:1
Entity StatusPublic listing published
Source reportedE1
company:aa591111-f580-4dfc-b408-646c64627533:entity_status:3
Published FactFinancials
Source reportedE1
company:aa591111-f580-4dfc-b408-646c64627533:published_fact:5

Not yet in this record

Coverage

A gap is a coverage state, not a negative finding. These sections are expected for this entity class and are not yet published.

  • Corporate structureNot reviewed. Parent, subsidiary and predecessor structure explains who is governed.
  • OwnershipNot reviewed. Ownership and voting power determine who can influence the board.
  • FinancialsNot reviewed. Governance-relevant financial context frames capital and audit decisions.
  • CompensationNot reviewed. Pay design shows how incentives are governed.
  • GovernanceNot reviewed. Governing documents and provisions set the rules of the enterprise.
  • Shareholder governanceNot reviewed. Meeting and vote records show shareholder dissent and support.
  • AuditNot reviewed. Auditor, controls and restatements show assurance over reporting.
  • LegalNot reviewed. Material legal and regulatory matters show enforcement exposure.
  • RiskNot reviewed. Risk ownership links the board, committees, executives and controls.
  • CyberNot reviewed. Cyber and data governance is a disclosed oversight domain.
  • AI governanceNot reviewed. AI oversight is a differentiated Alpha governance domain.
  • Markets externalNot reviewed. Auditors, advisors, investors and regulators form the external ecosystem.
  • Absence of a leadership role, committee, or disclosure is not evidence that it does not exist.Absence of a leadership role, committee, or disclosure is not evidence that it does not exist.
  • Only explicitly published canonical company identity and current confirmed public roles are included.Only explicitly published canonical company identity and current confirmed public roles are included.
  • Absence of a board, committee, executive, listing, or claim is not evidence that it does not exist.Absence of a board, committee, executive, listing, or claim is not evidence that it does not exist.
  • Public retrieval does not grant redistribution, model-training, direct-contact, or relationship-pathfinding rights.Public retrieval does not grant redistribution, model-training, direct-contact, or relationship-pathfinding rights.
  • This Company Profile is an identity and evidence record, not an Alpha rating.This Company Profile is an identity and evidence record, not an Alpha rating.

Subject and corrections

Public-role doctrine

This record exists because the company is in the published Registry. The company can claim the record, correct, or dispute any Claim. Corrections are versioned and the original stays in history.

Basis
Published company record built from public sources
Sources
11 evidence records cited. 0 with redistribution rights.
Never published
Private enterprise overlay data: deployments, authority grants, TrustChecks, receipts, telemetry
Record claimed
No
Open disputes
0
Identity ownership
unclaimed
Claiming not yet available

If the company claims the record, its statements appear as their own assertion state and never overwrite the cited evidence.

Evidence

Authority and rights
  1. E1
    Alpha canonical company public projection
    Alpha canonical company public projection. canonical identity. Retrieved Oct 15, 2026. Cited by 5 Claims.
    Open web
    Rights not recorded, link only
    Evidence not pinned
  2. E2
    LPL Financial Holdings DEF 14A 2026-04-02
    sec proxy. Published Apr 2, 2026. Retrieved Jul 12, 2026. Cited by 11 Claims.
    Authoritative, regulatory filing
    Rights not recorded, link only
    Evidence not pinned
  3. E3
    LPLA 10-K executive officers
    sec filing. Published Feb 23, 2026. Retrieved May 4, 2026. Cited by 1 Claim.
    Authoritative, regulatory filing
    Rights not recorded, link only
    Evidence not pinned
  4. E4
    LPLA 10-K executive officers
    sec filing. Published Feb 23, 2026. Retrieved May 4, 2026. Cited by 1 Claim.
    Authoritative, regulatory filing
    Rights not recorded, link only
    Evidence not pinned
  5. E5
    LPLA 10-K executive officers
    sec filing. Published Feb 23, 2026. Retrieved May 4, 2026. Cited by 1 Claim.
    Authoritative, regulatory filing
    Rights not recorded, link only
    Evidence not pinned
  6. E6
    LPLA 10-K executive officers
    sec filing. Published Feb 23, 2026. Retrieved May 4, 2026. Cited by 1 Claim.
    Authoritative, regulatory filing
    Rights not recorded, link only
    Evidence not pinned
  7. E7
    LPLA 10-K executive officers
    sec filing. Published Feb 23, 2026. Retrieved May 4, 2026. Cited by 1 Claim.
    Authoritative, regulatory filing
    Rights not recorded, link only
    Evidence not pinned
  8. E8
    LPLA 10-K executive officers
    sec filing. Published Feb 23, 2026. Retrieved May 4, 2026. Cited by 1 Claim.
    Authoritative, regulatory filing
    Rights not recorded, link only
    Evidence not pinned
  9. E9
    LPLA 10-K executive officers
    sec filing. Published Feb 23, 2026. Retrieved May 4, 2026. Cited by 1 Claim.
    Authoritative, regulatory filing
    Rights not recorded, link only
    Evidence not pinned
  10. E10
    LPLA 10-K executive officers
    sec filing. Published Feb 23, 2026. Retrieved May 4, 2026. Cited by 1 Claim.
    Authoritative, regulatory filing
    Rights not recorded, link only
    Evidence not pinned
  11. E11
    Audit
    board_seats. board seats. Cited by 24 Claims.
    Authoritative, regulatory filing
    Rights not recorded, link only
    Evidence not pinned

What changed in version public-1:d751713988987e9331980363e24189ce:ro-d751713988987e9331980363e24189ce

vpublic-1:d751713988987e9331980363e24189ce:ro-d751713988987e9331980363e24189ce published Oct 15, 2026
  • Aneri Jambusaria executive of LPL Financial Holdings Inc., effective 2026-02-23.
  • Emily Field executive of LPL Financial Holdings Inc., effective 2026-02-23.
  • Greg Gates executive of LPL Financial Holdings Inc., effective 2026-02-23.
  • Matthew Audette executive of LPL Financial Holdings Inc., effective 2026-02-23.
  • Matthew Enyedi executive of LPL Financial Holdings Inc., effective 2026-02-23.
  • Matthew Morningstar executive of LPL Financial Holdings Inc., effective 2026-02-23.
  • Mitchell Cohen executive of LPL Financial Holdings Inc., effective 2026-02-23.
  • Richard Steinmeier executive of LPL Financial Holdings Inc., effective 2026-02-23.
  • Somesh Khanna seat on LPL Financial Holdings Inc., effective 2026-01-01.
  • Richard Steinmeier seat on LPL Financial Holdings Inc., effective 2024-01-01.
  • Albert J. Ko seat on LPL Financial Holdings Inc., effective 2023-01-01.
  • Audit; Risk committee of LPL Financial Holdings Inc., effective 2023-01-01.
  • Albert J. Ko member of Audit; Risk, effective 2023-01-01.
  • Edward C. Bernard seat on LPL Financial Holdings Inc., effective 2020-01-01.
  • Audit; Compensation; Risk committee of LPL Financial Holdings Inc., effective 2020-01-01.
  • Edward C. Bernard member of Audit; Compensation; Risk, effective 2020-01-01.
  • Corey E. Thomas seat on LPL Financial Holdings Inc., effective 2019-01-01.
  • Audit; Nominating and Governance; Risk committee of LPL Financial Holdings Inc., effective 2019-01-01.
  • Corey E. Thomas member of Audit; Nominating and Governance; Risk, effective 2019-01-01.
  • Allison H. Mnookin seat on LPL Financial Holdings Inc., effective 2018-01-01.
  • Compensation · Chair; Nominating and Governance committee of LPL Financial Holdings Inc., effective 2018-01-01.
  • Allison H. Mnookin member of Compensation · Chair; Nominating and Governance, effective 2018-01-01.
  • William F. Glavin, Jr. seat on LPL Financial Holdings Inc., effective 2017-01-01.
  • Compensation; Nominating and Governance committee of LPL Financial Holdings Inc., effective 2017-01-01.
  • William F. Glavin, Jr. member of Compensation; Nominating and Governance, effective 2017-01-01.
  • H. Paulett Eberhart seat on LPL Financial Holdings Inc., effective 2014-01-01.
  • Audit · Chair; Compensation; Risk committee of LPL Financial Holdings Inc., effective 2014-01-01.
  • H. Paulett Eberhart member of Audit · Chair; Compensation; Risk, effective 2014-01-01.
  • Anne M. Mulcahy seat on LPL Financial Holdings Inc., effective 2013-01-01.
  • Nominating and Governance · Chair committee of LPL Financial Holdings Inc., effective 2013-01-01.
  • Anne M. Mulcahy member of Nominating and Governance · Chair, effective 2013-01-01.
  • James S. Putnam seat on LPL Financial Holdings Inc., effective 2005-01-01.
  • Richard P. Schifter seat on LPL Financial Holdings Inc., effective 2005-01-01.
  • Richard P. Schifter member of Audit; Risk, effective 2005-01-01.
Appearance

Alpha Governance PBC. The Registry records reported facts and Alpha's assessments separately. A missing fact is not evidence that it is false.

Record alpha:company:aa591111-f580-4dfc-b408-646c64627533, version public-1:d751713988987e9331980363e24189ce:ro-d751713988987e9331980363e24189ce. https://registry.alpha.ac/companies/lpl-financial-holdings-inc

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On this record

  1. Overview
  2. Monitoring4
  3. Leadership8
  4. Board11
  5. Committees11
  6. Control and voting0
  7. Authority to act4
  8. Financials1
  9. Governance0
  10. Risk0
  11. AI oversight0
  12. Legal0
  13. Compensation0
  14. Other published claims4
  15. Coverage gaps17
  16. Linked people18
  17. Subject and corrections6
  18. Evidence11
  19. Version historyvpublic-1:d751713988987e9331980363e24189ce:ro-d751713988987e9331980363e24189ce

Linked records

Registry

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  • Actions
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  • Copy Alpha IDalpha:company:aa591111-f580-4dfc-b408-646c64627533
  • Cite this recordLPL Financial Holdings Inc.
  • Copy canonical URLregistry.alpha.ac/companies/lpl-financial-holdings-inc
  • Copy as MarkdownWith assertion states
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  • Records
    LPL Financial Holdings Inc.Company
  • Aneri JambusariaPerson
  • Emily FieldPerson
  • Greg GatesPerson
  • Matthew AudettePerson
  • Matthew EnyediPerson
  • Matthew MorningstarPerson
  • Mitchell CohenPerson
  • Richard SteinmeierPerson
  • Albert J. KoPerson
  • Allison H. MnookinPerson
  • Anne M. MulcahyPerson
  • Corey E. ThomasPerson
  • Edward C. BernardPerson
  • H. Paulett EberhartPerson
  • James S. PutnamPerson
  • Richard P. SchifterPerson
  • Somesh KhannaPerson
  • William F. Glavin, Jr.Person
  • Sections
    OverviewLPL Financial Holdings Inc.
  • MonitoringLPL Financial Holdings Inc.
  • LeadershipLPL Financial Holdings Inc.
  • BoardLPL Financial Holdings Inc.
  • CommitteesLPL Financial Holdings Inc.
  • Control and votingLPL Financial Holdings Inc.
  • Authority to actLPL Financial Holdings Inc.
  • FinancialsLPL Financial Holdings Inc.
  • GovernanceLPL Financial Holdings Inc.
  • RiskLPL Financial Holdings Inc.
  • AI oversightLPL Financial Holdings Inc.
  • LegalLPL Financial Holdings Inc.
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Report an error

Reports attach to the Claim and go to an Alpha analyst through the correction form. Corrections are versioned, and the original stays in history.