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LPL Financial LLC Form 13F-HR Filed 2021-08-13

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LPL Financial LLC Form 13F-HR Filed 2021-08-13 SECURITIES AND EXCHANGE COMMISSION FORM 13F-HR Initial quarterly Form 13F holdings report filed by institutional managers Filing Date: 2021-08-13 | Period of Report: 2021-06-30 SEC Accession No. 0001403438-21-000004 (HTML Version on secdatabase.com) FILER LPL Financial LLC Mailing Address Business Address 1055 LPL WAY 4707 EXECUTIVE DRIVE CIK:1403438| IRS No.: 952834236 | State of Incorp.:CA | Fiscal Year End: 1231 FORT MILL SC 29715 SAN DIEGO CA 92121 Type: 13F-HR | Act: 34 | File No.: 028-12526 | Film No.: 211170492 704-733-3300 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE OMB Number: 3235-0006 COMMISSION Expires: July 31, 2015 Washington, D.C. 20549 Estimated average burden hours per response: 23.8 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 06-30-2021 Check here if Amendment: ☐ Amendment Number: This Amendment (Check only one.): ☐ is a restatement. ☐ adds new holdings entries. Institutional Investment Manager Filing this Report: Name: LPL Financial LLC Address: 1055 LPL WAY FORT MILL, SC 29715 Form 13F File Number: 028-12526 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Dean Phillips Title: Vice President Phone: 980-264-8377 Signature, Place, and Date of Signing: Dean Phillips Fort Mill, SOUTH CAROLINA 08-12-2021 [Signature] [City, State] [Date] Report Type (Check only one.): ☒ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) ☐ 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) ☐ 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F Summary Page Report Summary: Number of Other Included Managers: 0 Form 13F Information table Entry Total: 4218 Form 13F Information table Value Total: 98898818 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0006 Washington, D.C. 20549 Expires: July 31, 2015 Estimated average burden FORM 13F hours per response: 23.8 FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE 10X GENOMICS INC CL A COM 88025U109 1,885 9,628 SH SOLE 5,662 0 3,966 1LIFE HEALTHCARE INC COM 68269G107 322 9,729 SH SOLE 0 0 9,729 1STDIBS COM INC COM 320551104 455 13,065 SH SOLE 13,065 0 0 22ND CENTY GROUP INC COM 90137F103 252 54,440 SH SOLE 0 0 54,440 23ANDME HOLDING CO CLASS A COM 90138Q108 298 25,473 SH SOLE 0 0 25,473 2U INC COM 90214J101 1,916 45,975 SH SOLE 37,911 0 8,064 360 DIGITECH INC AMERICAN DEP 88557W101 365 8,733 SH SOLE 1,266 0 7,467 3-D SYS CORP DEL COM NEW 88554D205 10,838 271,160 SH SOLE 0 0 271,160 3M CO COM 88579Y101 79,414 399,811 SH SOLE 48,654 0 351,157 9 METERS BIOPHARMA INC COM 654405109 49 44,720 SH SOLE 0 0 44,720 AAON INC COM PAR $0.004 000360206 386 6,169 SH SOLE 1,664 0 4,505 ABB LTD SPONSORED ADR 000375204 2,305 67,816 SH SOLE 4,591 0 63,225 ABBOTT LABS COM 002824100 78,059 673,325 SH SOLE 50,046 0 623,279 ABBVIE INC COM 00287Y109 187,398 1,663,689 SH SOLE 272,494 0 1,391,195 ABERDEEN ASIA-PACIFIC INCOME COM 003009107 8,525 1,924,389 SH SOLE 0 0 1,924,389 ABERDEEN AUSTRALIA EQUITY FD COM 003011103 269 41,709 SH SOLE 0 0 41,709 ABERDEEN GLOBAL DYNAMIC DIVI COM 00302M106 255 21,221 SH SOLE 0 0 21,221 ABERDEEN GLOBAL PREMIER PPTY COM SH BEN INT 00302L108 944 148,375 SH SOLE 0 0 148,375 ABERDEEN INCOME CR STRATEGIE COM 003057106 1,660 149,241 SH SOLE 0 0 149,241 ABERDEEN STD GOLD ETF TR PHYSCL GOLD SHS 00326A104 6,563 386,308 SH SOLE 0 0 386,308 ABERDEEN STD PALLADIUM ETF T PHYSCL PALLADM 003262102 3,785 14,577 SH SOLE 0 0 14,577 ABERDEEN STD PLATINUM ETF TR PHYSCL PLATM SHS 003260106 1,927 19,220 SH SOLE 0 0 19,220 ABERDEEN STD PRECIOUS METALS PHYSCL PM BASKET 003263100 6,116 63,407 SH SOLE 0 0 63,407 ABERDEEN STD SILVER ETF TR PHYSCL SILVR SHS 003264108 5,700 226,274 SH SOLE 0 0 226,274 ABERDEEN TOTAL DYNAMIC DIVD COM SH BEN INT 00326L100 4,318 424,578 SH SOLE 0 0 424,578 ABIOMED INC COM 003654100 1,960 6,281 SH SOLE 3 0 6,278 ABSOLUTE SHS TR WBI BBR GBL INME 00400R874 9,113 366,290 SH SOLE 359,221 0 7,069 ABSOLUTE SHS TR WBI BBR QTY 3000 00400R809 5,377 174,852 SH SOLE 172,696 0 2,156 ABSOLUTE SHS TR WBI BBR VAL 3000 00400R601 6,184 194,692 SH SOLE 192,150 0 2,542 ABSOLUTE SHS TR WBI BBR YLD 3000 00400R700 5,532 207,324 SH SOLE 203,042 0 4,282 ABSOLUTE SHS TR WBI BULBEAR TR 00400R841 2,226 109,315 SH SOLE 104,815 0 4,500 ABSOLUTE SHS TR WBI PWR FCTR ETF 00400R858 5,411 196,936 SH SOLE 178,224 0 18,712 ACADEMY SPORTS & OUTDOORS IN COM 00402L107 4,042 98,006 SH SOLE 0 0 98,006 ACADIA HEALTHCARE COMPANY IN COM 00404A109 3,486 55,551 SH SOLE 17,714 0 37,837 ACADIA PHARMACEUTICALS INC COM 004225108 1,148 47,058 SH SOLE 6,733 0 40,325 ACADIA RLTY TR COM SH BEN INT 004239109 881 40,126 SH SOLE 0 0 40,126 ACASTI PHARMA INC CL A NEW 00430K402 10 17,500 SH SOLE 0 0 17,500 ACCELERON PHARMA INC COM 00434H108 461 3,671 SH SOLE 205 0 3,466 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 43,334 146,999 SH SOLE 44,208 0 102,791 ACELRX PHARMACEUTICALS INC COM 00444T100 26 19,090 SH SOLE 0 0 19,090 ACHIEVE LIFE SCIENCES INC COM 004468500 618 68,800 SH SOLE 0 0 68,800 ACTIVISION BLIZZARD INC COM 00507V109 14,381 150,681 SH SOLE 39,050 0 111,631 ACUITY BRANDS INC COM 00508Y102 728 3,891 SH SOLE 20 0 3,871 ACUSHNET HLDGS CORP COM 005098108 657 13,307 SH SOLE 647 0 12,660 ADAM NAT RES FD INC COM 00548F105 235 14,506 SH SOLE 0 0 14,506 ADAMS DIVERSIFIED EQUITY FD COM 006212104 1,374 69,490 SH SOLE 0 0 69,490 ADAPTIVE BIOTECHNOLOGIES COR COM 00650F109 1,513 37,035 SH SOLE 0 0 37,035 ADIENT PLC ORD SHS G0084W101 355 7,864 SH SOLE 0 0 7,864 ADOBE SYSTEMS INCORPORATED COM 00724F101 185,097 316,060 SH SOLE 72,587 0 243,473 ADT INC DEL COM 00090Q103 745 69,011 SH SOLE 0 0 69,011 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document ADVANCE AUTO PARTS INC COM 00751Y106 10,776 52,528 SH SOLE 37,617 0 14,911 ADVANCED DRAIN SYS INC DEL COM 00790R104 3,118 26,751 SH SOLE 0 0 26,751 ADVANCED ENERGY INDS COM 007973100 2,306 20,462 SH SOLE 7,424 0 13,038 ADVANCED MICRO DEVICES INC COM 007903107 60,279 641,740 SH SOLE 79,817 0 561,923 ADVANTAGE SOLUTIONS INC COM CL A 00791N102 430 39,857 SH SOLE 39,857 0 0 ADVAXIS INC COM NEW 007624307 5 10,025 SH SOLE 0 0 10,025 ADVENT CONV & INCOME FD COM 00764C109 2,907 150,857 SH SOLE 0 0 150,857 ADVISORSHARES TR ADVISORSHS ETF 00768Y560 371 7,947 SH SOLE 0 0 7,947 ADVISORSHARES TR DORSEY WRIGT ADR 00768Y206 1,634 24,581 SH SOLE 0 0 24,581 ADVISORSHARES TR DORSY FSM ALCP 00768Y479 1,762 48,054 SH SOLE 0 0 48,054 ADVISORSHARES TR DOUBLELIN VAL EQ 00768Y818 1,252 13,124 SH SOLE 0 0 13,124 ADVISORSHARES TR NEWFLT MULSINC 00768Y727 1,124 23,027 SH SOLE 0 0 23,027 ADVISORSHARES TR PURE CANNABIS 00768Y495 4,629 219,483 SH SOLE 0 0 219,483 ADVISORSHARES TR PURE US CANNABIS 00768Y453 6,078 151,906 SH SOLE 0 0 151,906 ADVISORSHARES TR VICE E T F 00768Y545 418 11,598 SH SOLE 0 0 11,598 AEA-BRIDGES IMPACT CORP SHS CL A G01046104 205 21,000 SH SOLE 0 0 21,000 AECOM COM 00766T100 256 4,045 SH SOLE 0 0 4,045 AEGON N V NY REGISTRY SHS 007924103 773 187,198 SH SOLE 0 0 187,198 AERCAP HOLDINGS NV SHS N00985106 497 9,714 SH SOLE 8,317 0 1,397 AERIE PHARMACEUTICALS INC COM 00771V108 396 24,722 SH SOLE 24,659 0 63 AEROJET ROCKETDYNE HLDGS INC COM 007800105 269 5,563 SH SOLE 0 0 5,563 AEROVIRONMENT INC COM 008073108 1,220 12,180 SH SOLE 0 0 12,180 AES CORP COM 00130H105 8,474 325,042 SH SOLE 210,936 0 114,106 AFFILIATED MANAGERS GROUP IN COM 008252108 532 3,452 SH SOLE 1,098 0 2,354 AFFIMED N V COM N01045108 289 33,974 SH SOLE 0 0 33,974 AFFIRM HLDGS INC COM CL A 00827B106 2,251 33,428 SH SOLE 0 0 33,428 AFLAC INC COM 001055102 21,682 404,063 SH SOLE 165,488 0 238,575 AGCO CORP COM 001084102 547 4,199 SH SOLE 358 0 3,841 AGEAGLE AERIAL SYS INC NEW COM 00848K101 71 13,507 SH SOLE 0 0 13,507 AGENUS INC COM NEW 00847G705 169 30,782 SH SOLE 0 0 30,782 AGILE THERAPEUTICS INC COM 00847L100 35 26,344 SH SOLE 0 0 26,344 AGILENT TECHNOLOGIES INC COM 00846U101 4,647 31,438 SH SOLE 160 0 31,278 AGILYSYS INC COM 00847J105 233 4,092 SH SOLE 0 0 4,092 AGNC INVT CORP COM 00123Q104 7,403 438,313 SH SOLE 3,978 0 434,335 AGNICO EAGLE MINES LTD COM 008474108 2,117 35,017 SH SOLE 5,965 0 29,052 AGREE RLTY CORP COM 008492100 354 5,018 SH SOLE 1,776 0 3,242 AGROFRESH SOLUTIONS
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