LPL Financial Holdings Inc

Our Board of Directors, including its Audit and Risk Committee and Nominating and Governance Committee, oversees LPL's sustainability and climate strategy, including the management of related risks and opportunities:

� The Audit and Risk Committee reviews and assesses LPL's processes for managing and controlling risk, including climate risk, and reviews disclosure controls and procedures for compliance with applicable laws and regulations.

� The Nominating and Governance Committee oversees LPL's sustainability program, including its alignment with LPL's overall strategy and external reporting to LPL's stakeholders. [...] Our risk management governance includes the board and select board committees, the Risk Oversight Committee (ROC) and its subcommittees, and our three lines of defense model. We regularly reevaluate and modify (when necessary) our processes to improve risk identification and escalation. In 2021, LPL established an ESG Steering Committee comprising cross-functional senior leaders across the firm. The ESG Steering Committee assists in setting LPL's sustainability strategy, including climate-related risks, and assesses and recommends policies, practices, and disclosures that conform with that strategy and long-term goal setting. In 2022, to build on its climate strategy, LPL established a climate working group. This group comprises members from Facilities, Research, Finance, Enterprise Resiliency, Government Relations, Legal, Risk, Technology, ESG, and Procurement. The working group oversees LPL's climate-related risk and impacts and helps set recommendations for our climate program. Going forward, we expect the climate working group will be overseen by the ROC, which will report to the Audit and Risk Committee on our climate approach and risk considerations. This plan promotes clear lines of risk management ownership and accountability while providing a structured escalation process for key risk information and events.

##### LPL Political Action Committee The LPL Political Action Committee (PAC) is one of the tools used by the Government Relations team. The PAC is a bipartisan committee that is overseen by the board of directors and is composed of LPL employees representing different business units at LPL. They are also informed by any advisory board of directors composed of LPL advisors from across the country. The PAC board directors approve the PAC budget, including which members of Congress are included in the budget and the overall PAC strategy. For 2019 and 2020, LPL PAC issued contributions totaling $921,794.

Our Board of Directors, including its Audit and Risk Committee and Nominating and Governance Committee, oversees LPL's sustainability and climate strategy, including the management of related risks and opportunities: � The Audit and Risk Committee reviews and assesses LPL's processes for managing and controlling risk, including climate risk, and reviews disclosure controls and procedures designed to ensure compliance with applicable laws and regulations. � The Nominating and Governance Committee oversees LPL's sustainability program, including its alignment with LPL's overall strategy and external reporting to LPL's stakeholders. [...] LPL has a well-established ESG Steering Committee comprising cross-functional senior leaders across the firm. The ESG Steering Committee assists in setting LPL's sustainability strategy, including climate-related risks, and assesses and recommends policies, practices, and disclosures that conform with that strategy and long-term goal setting. We also have a climate working group, comprising members from Facilities, Research, Finance, Enterprise Resiliency, Government Relations, Legal, Risk, Technology, Sustainability, and Procurement. The working group oversees LPL's climate-related risk and impacts and helps set recommendations for our climate program. This working group is led by our Sustainability team and overseen by the ROC, which reports to the Audit and Risk Committee. We believe this promotes clear lines of risk management ownership and accountability while providing a structured escalation process for key risk information and events.

Oversight of performance, risks, and opportunities [...] **Board committees** [...] **Nominating and Governance Committee** Consists entirely of independent directors **Role:** Primary oversight of our ESG program and initiatives [...] Led by senior level executives, it serves as the most senior risk management committee and reports to the Board Audit and Risk Committee **Role: Oversees climate risk-related impacts to the firm** [...] **ESG Steering Committee Climate Task Force** Includes a cross-functional group of senior leaders whose business areas impact LPL's sustainability program, overseen by the Head of ESG **Role: Sets the sustainability strategy** and roadmap by maturing disclosures, policy, and accountability for ESG initiatives across LPL [...] **Sustainability Team** **Role: Implements sustainability and climate** strategy [...] **Functional and program leaders** **Role: Report to the Sustainability Team and** ESG Steering Committee on progress on initiatives within LPL's sustainability roadmap [...] Reports quarterly to the Risk Oversight Committee, and is led by the Sustainability Team and includes members from Facilities, Research, Finance, Enterprise Resiliency, Government Relations, Technology, Legal, and Procurement **Role: Oversees all climate risks, impacts, and** reporting

Does your organization have a public commitment or position statement to conduct your engagement activities in line with the goals of the Paris Agreement?[…]No, and we do not plan to have one in the next two years