LPL Investment Holdings Inc.
SEC CIK 1397911 · LPLA · last insider filing 2026-06-22
Directors (from insider filings)
| Name | Capacity as filed | Filings |
|---|---|---|
| Eberhart Paulett | Director | filed 2014 - 2026 |
| Bernard Edward C | Director | filed 2020 - 2026 |
| Schifter Richard P | Director | filed 2007 - 2026 |
| Glavin William Francis Jr | Director | filed 2017 - 2026 |
| Putnam James S | Director | filed 2007 - 2026 |
| Mnookin Allison | Director | filed 2018 - 2026 |
| Thomas Corey E. | Director | filed 2019 - 2026 |
| Mulcahy Anne M | Director | filed 2013 - 2026 |
| Ko Albert J | Director | filed 2023 - 2026 |
| Khanna Somesh | Director | filed 2026 - 2026 |
| Arnold Dan H. | Director · President & CEO | filed 2010 - 2024 |
| Riepe James S | Director | filed 2008 - 2020 |
| Dinh Viet D | Director | filed 2015 - 2018 |
| Hellman Marco | Director | filed 2016 - 2018 |
| Brennan John Joseph | Director | filed 2010 - 2017 |
| Casady Mark S | Director · Chief Executive Officer | filed 2007 - 2017 |
| Boyce Richard W | Director | filed 2009 - 2015 |
| Stiefler Jeffrey E | Director | filed 2007 - 2013 |
| Hellman & Friedman Capital Partners V, L.P. | Director | filed 2009 - 2013 |
| Thorpe Allen R | Director | filed 2007 - 2013 |
| Hellman & Friedman Capital Associates V, LLC | Director | filed 2009 - 2013 |
| Hellman & Friedman Capital Partners V (Parallel), L.P. | Director | filed 2009 - 2013 |
| Hellman & Friedman Investors V, LLC | Director | filed 2009 - 2013 |
| Hellman & Friedman LLC | Director | filed 2009 - 2013 |
| Goldstein Jeffrey A | Director | filed 2007 - 2013 |
| Hellman & Friedman LP | Director | filed 2012 - 2013 |
| Hellman & Friedman GP LLC | Director | filed 2013 - 2013 |
| Ragatz Erik D. | Director | filed 2009 - 2011 |
| Haines Marshall | Director | filed 2007 - 2009 |
Officers (from insider filings)
| Name | Title as filed | Filings |
|---|---|---|
| Jambusaria Aneri | Managing Director | filed 2023 - 2026 |
| Gates Greg | Managing Director | filed 2021 - 2026 |
| Cohen Marc Eliot | Managing Director | filed 2024 - 2026 |
| Audette Matthew J | President and CFO | filed 2015 - 2026 |
| Steinmeier Richard | Managing Director | filed 2018 - 2026 |
| Enyedi Matthew | Managing Director | filed 2020 - 2026 |
| Reeping Katharine | Principal Accounting Officer | filed 2025 - 2026 |
| Field Emily | Group Managing Director | filed 2025 - 2026 |
| Morningstar Matthew | Group Managing Director | filed 2025 - 2026 |
| Brown Althea | Managing Director | filed 2023 - 2025 |
| Dadyar Sara | Managing Director | filed 2024 - 2025 |
| Sethi Kabir | Managing Director | filed 2022 - 2024 |
| Larsen Sallie R. | Managing Director | filed 2012 - 2023 |
| Semerjian Dayton | Managing Director | filed 2019 - 2023 |
| Oroschakoff Michelle | Managing Director | filed 2013 - 2023 |
| Simonich Brent | Principal Accounting Officer | filed 2021 - 2023 |
| White George Burton | Managing Director | filed 2012 - 2022 |
| Fandrey Edward | Managing Director | filed 2021 - 2022 |
| Seese Scott | Managing Director | filed 2017 - 2021 |
| Kalbaugh John Andrew | Managing Director | filed 2012 - 2021 |
| Calder Tracy | Managing Director | filed 2016 - 2019 |
| Gooley Thomas | Managing Director | filed 2015 - 2019 |
| Morrissey William P. Jr. | Managing Director | filed 2014 - 2018 |
| Bergers David P. | Managing Director | filed 2013 - 2017 |
| Fetter Victor | Managing Director | filed 2012 - 2017 |
| Parker Ryan | MD, Invstmt & Planning Solutns | filed 2014 - 2016 |
| Buchheister Jeffrey R. | EVP, Chief Accounting Officer | filed 2014 - 2016 |
| Handelsman Sharyn | MD, Chief Compliance Officer | filed 2015 - 2015 |
| Thomas Lux | EVP, CAO | filed 2009 - 2015 |
| Helliker Mark | MD, Client Support Services | filed 2010 - 2015 |
| Schott Mary Frances | MD, Client Expernce & Training | filed 2014 - 2015 |
| Moore Robert J. | President & COO | filed 2008 - 2015 |
| Bruton Derek | MD, National Sales Manager | filed 2012 - 2014 |
| Khoury Joan D | MD, Chief Marketing Officer | filed 2012 - 2014 |
| Dwyer William E III | President, Nat. Sales & Mktg. | filed 2007 - 2013 |
| Brown Stephanie L | Mng Dir., General Counsel | filed 2007 - 2013 |
| Mcdermott John J. | See Remarks | filed 2010 - 2013 |
| Feeney Christopher | MD, Chief Information Officer | filed 2010 - 2012 |
| Eaton Jonathan | MD, Custom Clearing Services | filed 2010 - 2012 |
| Stearns Esther M | President, COO | filed 2007 - 2012 |
| Shulman Becky S | MD & Deputy CFO | filed 2011 - 2011 |
| Abood Denise M. | MD, Human Capital | filed 2010 - 2010 |
| Maher Bill | Managing Director, CFO | filed 2007 - 2009 |
| Black Steven M. | Mng Dir., Chief Risk Officer | filed 2007 - 2009 |
| Tuorto Joseph P | Mng Dir, Head of Compliance | filed 2007 - 2008 |
About this record
From the SEC's insider-transaction filings (Forms 3, 4 and 5). Every reporting director and officer carries a Commission-assigned identifier (CIK), so these footprints are identifier-verified - no name matching involved. Insiders file when they transact, so dates are filing dates: "last filed" never means "served until". This layer is not yet joined to the nonprofit register - identity joins ship only after independent review.
Source: SEC Insider Transactions Data Sets (Forms 3/4/5), US Federal Government public domain.