← 栏目首页 | 数据源：SEC Form ADV Part 1（FOIA 全量数据包）· 该机构最新一次申报（11/08/2024）
LPL FINANCIAL LLC · 所有者与执行高管（CRD 6413）
机构事实页：LPL FINANCIAL LLC 事实页 → | 官方原文：IAPD firm-summary/6413
Schedule A · 直接所有者（12 条）
| 名称 | 类型 | 职务 / 身份 | 控制人 | 持股方式 |
|---|---|---|---|---|
| LPL HOLDINGS, INC. | 境内实体 | MANAGING MEMBER | 是 | E |
| AUDETTE, MATTHEW JON | 个人 | PRESIDENT AND CHIEF FINANCIAL OFFICER | 是 | NA |
| STEINMEIER, RICHARD C | 个人 | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 是 | NA |
| SIMONICH, BRENT BLAIN | 个人 | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 是 | NA |
| ENYEDI, MATTHEW KLAUS | 个人 | MANAGING DIRECTOR, NATIONAL SALES | 是 | NA |
| RICKETTS, JUDITH KOHOSKIE | 个人 | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 是 | NA |
| GATES, GREGORY | 个人 | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 是 | NA |
| JAMBUSARIA, ANERI | 个人 | MANAGING DIRECTOR LPL SERVICES GROUP | 是 | NA |
| BROWN, ALTHEA ANN-MARIE | 个人 | MANAGING DIRECTOR, CHIEF LEGAL OFFICER AND DIRECTOR | 是 | NA |
| MALFITANO, STEVEN THOMAS | 个人 | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 是 | NA |
| MCHALE, JAMES | 个人 | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 是 | NA |
| DADYAR, LABKHAND SARA | 个人 | MANAGING DIRECTOR, CHIEF HUMAN CAPITAL OFFICER | 是 | NA |
Schedule B · 执行高管（1 条）
| 名称 | 职务 | 控制人 |
|---|---|---|
| LPL FINANCIAL HOLDINGS INC. | PARENT COMPANY | 是 |
口径：Form ADV 为投资顾问向 SEC/IARD 的申报，所有者与高管为机构自报；本库取该机构在数据区间内的最新一次申报快照（官方数据包截至 2024-12-31），此后的人事变化不在本页反映。持股方式为 ADV 原始代码。
