LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer. LPL serves independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. 

Finance

LPL Financial

Gates oversees all aspects of the firm’s technology and systems applications, leading the firm’s efforts to deliver a differentiated technology experience for LPL advisors, RIAs and institutions, and their clients.

Gates joined LPL in 2018 with nearly two decades of senior-level FinTech management experience in technology strategy, including creation, development and delivery. He has demonstrated a disciplined approach to the agile development of customer-centric technology, emphasizing ease of use, speed of delivery and high quality. Before joining LPL, he led product management and engineering teams at PayPal. Prior to that, at Bank of America, he led a number of technology organizations in the consumer, corporate and securities organization, culminating in leadership of large transition efforts and contact center technology.

Greg Gates

John O'Neill is the Chief Compliance Officer at [LPL Financial](/org/lpl-financial). John has held this position since October 2017. Prior to this, they were the SVP, Compliance - Surveillance and Investigations at [LPL Financial](/org/lpl-financial) from June 2011 to October 2017. John was also VP, Compliance at Bank of America Merrill Lynch from September 2006 to June 2011. Their roles at Bank of America Merrill Lynch included surveillance and compliance technology platform development for Merrill Lynch Wealth Management, and regulatory change management for the Bank of America Global Wealth & Investment Management (GWIM) line of business.

John O'Neill's educational career consists of a Bachelor of Arts in Political Science from [Boston College](/org/boston-college) and a Doctor of Law in Law from Rutgers University - Newark.

John O'Neill reports to Dan Arnold, President & CEO. They work with Kabir Sethi - Managing Director, Chief Product Officer, Michael Hartman - Chief Compliance Officer & Director, Operations, and Michelle Oroschakoff - Managing Director, Chief Legal Officer.

John O'Neill

Heather Carter has over 20 years of experience in the financial services industry. Heather currently serves as the EVP, Chief Marketing & Communication Officer at [LPL Financial](/org/lpl-financial).

Prior to joining [LPL Financial](/org/lpl-financial), Heather served as a Communication Consultant at Manulife Financial from October 2002 to May 2004. From September 2004 to December 2007, they served as Sr. Manager, Marketing and Communication at UVEST Financial Services. Heather began their career in the financial industry as a Public Relations Coordinator at Rockwell Automation Power Systems from May 1999 to July 2002.

Heather Carter completed a MA in English and women's studies at the [University of Virginia](/org/university-of-virginia) and a BA in English and sociology at [Wofford College](/org/wofford-college).

They are on a team with Michelle Oroschakoff - Managing Director, Chief Legal Officer, Matthew Audette - Managing Director, CFO, and John O'Neill - Chief Compliance Officer. Heather Carter reports to Dan Arnold, President & CEO.

Heather Carter

Davy Bannister is currently the EVP, CTO at [LPL Financial](/org/lpl-financial). Prior to this, they were the Managing Director, IT Business Aligned Technology, Production Services at [TIAA](/org/tiaa) from December 2006 to March 2017. In this role, they were responsible for delivery and support of infrastructure services aligned to [TIAA](/org/tiaa)’s business objectives. Before joining [TIAA](/org/tiaa), Davy was the Divsional Vice President of Infrastructure Operations at Family Dollar Stores from January 2003 to December 2006.

From January 1996 to December 2003, Davy served as the Director of Technical Services at Pillowtex Corp. In this role, they oversaw all technical aspects of the company including systems and networks. Prior to Pillowtex, Davy was the Senior Programmer/Systems/Network Analyst at The New Cherokee Corp from January 1994 to December 1996.

Davy began their career in 1992 as a Simulation Systems Analyst at SPARTA. Davy held this position until 1994 when they joined The New Cherokee Corp.

Davy Bannister graduated with a Master of Science in Mathematics from [Clemson University](/org/clemson-university) and a Bachelor of Science in Mathematics from [Clemson University](/org/clemson-university).

Davy Bannister works with Heather Carter - EVP, Chief Marketing & Communication Officer, Michelle Oroschakoff - Managing Director, Chief Legal Officer, and Sallie Larson - Managing Director, Chief Human Capital Officer. Davy Bannister reports to Dan Arnold, President & CEO.

Davy Bannister

Michelle Oroschakoff is the Managing Director and Chief Legal Officer at [LPL Financial](/org/lpl-financial). Michelle has over 25 years of experience in the financial industry. 

Michelle started their career as an Associate at Morrison & Foerster LLP in 1988. Michelle then worked as an Associate at Shearman & Sterling from 1990 to 1993. In 1993, they joined [Morgan Stanley](/org/morgan-stanley) as the Department Head of the San Francisco Litigation Department. Michelle served in this role for 11 years before being promoted to Chief Risk Officer of the Global Wealth Management Group in 2004. 

In 2006, Michelle left [Morgan Stanley](/org/morgan-stanley) to join [Fisher Investments](/org/fisher-investments) as their General Counsel and Chief Risk Officer of the Global Wealth Management Group. Michelle spent two years at [Fisher Investments](/org/fisher-investments) before returning to [Morgan Stanley](/org/morgan-stanley) in 2008. Michelle remained at [Morgan Stanley](/org/morgan-stanley) until 2013 when they joined [LPL Financial](/org/lpl-financial) as their Managing Director and Chief Legal Officer.

Michelle Oroschakoff has a BA in English from the [University of Oregon](/org/university-of-oregon) and a JD from University of Michigan Law School.

Michelle Oroschakoff reports to Dan Arnold, President & CEO. Some of their coworkers include Amy Hamilton - EVP, Internal Audit & Chief Audit Executive, Matthew Audette - Managing Director, CFO, and Rich Steinmeier - Managing Director & Divisional President, Business Development.

Michelle Oroschakoff

Dayton Semerjian is the current Managing Director and Chief Customer Care Officer at [LPL Financial](/org/lpl-financial). Prior to this, they spent 9 years at CA Technologies, where they were the General Manager and Senior Vice President of Global Customer Success. In this position, they were responsible for leading an enterprise transformation of over 11,000 global employees to drive higher rates of customer satisfaction, loyalty, renewal, and revenue growth. This included direct organizational leadership of 1,100 employees and $140m budget comprised of SaaS & on-premise customer success, customer intelligence, Net Promoter loyalty management system, business analytics, technology strategy, global escalation management, and customer support.

During their time at CA Technologies, some of their key accomplishments include improving Net Promoter Scores (NPS) by 46 points and 2x higher B2B enterprise software industry benchmark, by implementing best-in-class customer experience transformation strategy, which led to revitalized revenue growth. Dayton also designed and deployed a new hybrid customer success organization that delivered $80 million in incremental service sales and 600% ROI derived from higher renewal rates, capacity expansion, and cross-selling demand generation. In addition, they improved global customer support satisfaction scores from 8.0 to 9.4 out of 10 and all major support KPIs through a comprehensive transformation program which ultimately won 15 industry awards including: 6 Omega Management Awards for World Class Excellence in Customer Care, and 2 TSIA awards for Global Excellence. Finally, they rebuilt the management team and reduced group operating expense by $60 million (30%) while simultaneously improving KPI performance through use of Design Thinking, Lean Six Sigma, Agile Management, and analytics.



A direct report to Dayton Semerjian is and Shawn Mihal - EVP, Institution Services. Their manager is Dan Arnold, President & CEO. They work with Sallie Larson - Managing Director, Chief Human Capital Officer, Michael Hartman - Chief Compliance Officer & Director, Operations, and Michelle Oroschakoff - Managing Director, Chief Legal Officer.

Dayton Semerjian

Keith Wayshville

Michael Hartman is a Chief Compliance Officer and Director of Operations at [LPL Financial](/org/lpl-financial). Michael previously worked as Northeast Planning Associates' compliance officer.

Michael Hartman's educational career began at Manchester West High School. Michael then went on to study at [Southern New Hampshire University](/org/southern-new-hampshire-university) before completing their education at The Wharton School. Michael holds a Certified Regulatory Compliance Professional (CRCP) certification from The Wharton School.

Michael Hartman works with Greg Gates - Managing Director, Chief Technology & Information Officer, Davy Bannister - EVP, CTO, and Amy Hamilton - EVP, Internal Audit & Chief Audit Executive. Their manager is Dan Arnold, President & CEO.

Michael Hartman

Sallie Larson is the Managing Director and Chief Human Capital Officer at [LPL Financial](/org/lpl-financial). Sallie has over twenty years of experience in human resources and has held senior positions at Marriott, TRW, and [Capital One](/org/capital-one). Sallie has a degree from [Georgetown University](/org/georgetown-university) and is certified in Executive Leadership Coaching.

Sallie Larson has a MA in Organizational Communications from [Purdue University](/org/purdue-university) and a BA in Sociology from [California Lutheran University](/org/california-lutheran-university).

Sallie Larson reports to Dan Arnold, President & CEO. Some of their coworkers include Heather Carter - EVP, Chief Marketing & Communication Officer, Kabir Sethi - Managing Director, Chief Product Officer, and Amy Hamilton - EVP, Internal Audit & Chief Audit Executive.

Sallie Larson

Amy Hamilton is the EVP, Internal Audit & Chief Audit Executive at [LPL Financial](/org/lpl-financial). Amy has been with the company since April 2018 and in their current role since July 2021.

Previously, they were the EVP, Internal Audit - Chief Audit Executive at [LPL Financial](/org/lpl-financial) from April 2018 to July 2021. In this role, they were responsible for covering all aspects of internal auditing and IT, including cybersecurity. Amy also reported to the Chair of the Audit Committee of the LPL Board of Directors and to the LPL CFO (administratively).

Hamilton has enhanced the risk assessment process, partnered with ERM, and leveraged it to formulate the annual plan. Amy is also responsible for controls testing, including Sarbanes-Oxley, SOC and FICCA reporting. In addition, they are a member of Finance Leadership Team and the Risk Oversight Committee. Amy also sponsors Women in Finance.

Amy Hamilton has a Masters of Business Administration from The University of Chicago Booth School of Business, a BS from University of Illinois Urbana-Champaign, and a B.S. from Gies College of Business - University of Illinois Urbana-Champaign. Amy is also certified from the [State of Illinois](/org/state-of-illinois) as a Certified Public Accountant and from the [AICPA](/org/aicpa) as a Certified Global Management Accountant.

Their manager is Dan Arnold, President & CEO. They work with Dayton Semerjian - Managing Director, Chief Customer Care Officer, Heather Carter - EVP, Chief Marketing & Communication Officer, and Rich Steinmeier - Managing Director & Divisional President, Business Development.

Amy Hamilton

Kabir Sethi is managing director and Chief Product Officer for [LPL Financial](/org/lpl-financial). He is responsible for LPL’s technology platforms and wealth management offerings, ensuring the delivery of innovative products to advisors and clients.

In this role, he provides strategic leadership and direction to the Wealth Management Solutions, Investment Research, Investor Product Experience, Advisor Technology Products, and Data and Analytics teams, who are focused on delivering world-class wealth solutions and digital capabilities for our advisors, to enable them to continue driving growth and productivity in all areas of their businesses.

Prior to joining LPL, Mr. Sethi spent 18 years at Merrill Lynch, at which he held several leadership positions, including managing director in [Bank of America](/org/bank-of-america)’s Global Wealth & Investment Management division. He also served as head of Digital for Merrill Lynch Wealth Management, and was responsible for Merrill’s digital platforms, including the financial advisor experience, wealth planning, and social media.

He has extensive experience with digital strategy and innovation, as well as client-facing online and mobile platforms, financial advisor workstations, CRM platform, social media capabilities and client-advisor collaboration. Mr. Sethi earned a Bachelor of Economics from St. Stephen’s College at Delhi University, a Master of Business Administration from Indian Institute of Management Ahmedabad, and a Master of International Business from [Columbia University](/org/columbia-university).

Kabir Sethi

Lauren Holstein

Mr. Enyedi has served as managing director, business solutions of [LPL Financial](/org/lpl-financial) since November 2020. He is responsible for developing and deploying a suite of automated professional services to LPL advisors, and aligning them with the firm’s other programs that support advisors as business owners.

Previously, Mr. Enyedi served as managing director, national sales, overseeing an integrated group of product and platform sales consultants focused on helping financial advisors and institutions navigate and grow in an increasingly complex financial services landscape from January to November 2020.

Prior to his promotion to managing director, Mr. Enyedi served as executive vice president, national sales from March 2015 to January 2020. In that role, he led the firm’s data analytics and business intelligence efforts, and oversaw a team focused on providing front‐ and middle‐office capabilities to help advisors grow their businesses and reach new segments of clients. He was also previously responsible for teams supporting [LPL Financial](/org/lpl-financial)’s RIA custody and high-net-worth solutions.

Mr. Enyedi joined [LPL Financial](/org/lpl-financial) in 2003 and has also served as senior vice president, vice president, corporate strategy and assistant vice president of advisory consulting. Prior to joining the firm, he worked as a financial advisor with UBS PaineWebber.

Mr. Enyedi received a B.A. in speech communication and business administration from the [University of San Diego](/org/university-of-san-diego). He also holds the Certified Investment Management Analyst® designation from the Haas School of Business at the University of California, Berkeley.

Matthew K. Enyedi

Mr. Thomas serves as the chair of the board and chief executive officer of [Rapid7](/org/rapid7), Inc. (“Rapid7”), a public company that provides analytics for security and information technology operations. Mr. Thomas has been chief executive officer and a director since October 2012. From November 2008 to September 2012, Mr. Thomas held various other roles at [Rapid7](/org/rapid7), including serving as chief operating officer. He currently serves on the board of directors of Blue Cross Blue Shield of Massachusetts, serving on its audit and health care quality and affordability committees. Mr. Thomas received a B.E. in electrical engineering and computer science from [Vanderbilt University](/org/vanderbilt-university) and an M.B.A. from the [Harvard Business School](/org/harvard-business-school).

Mr. Thomas’ pertinent qualifications include his general management experience, including his top-level perspective on strategy and organization management as the chief executive officer of a public company; strategic insights with regard to information technology, cybersecurity and global sales and marketing gained through his career in the technology industry; an entrepreneurial mindset focused on solving the needs of clients ranging widely in size and industry; and experience leading operations involving multiple product delivery models, including his past role as a chief operating officer.

Corey E. Thomas

Ms. Mnookin is a senior lecturer of business administration in the technology and operations management unit at the [Harvard Business School](/org/harvard-business-school). From April 2016 to November 2016, Ms. Mnookin served as the chief executive officer of [QuickBase](/org/quick-base), Inc. (“QuickBase”), a provider of online application software which was spun-off by [Intuit](/org/intuit), Inc., a business and financial software company, in 2016. Ms. Mnookin was an employee of [Intuit](/org/intuit) from 1998 to 2016 and held roles of increasing responsibility over time, including vice president and general manager of [Intuit](/org/intuit)’s [QuickBase](/org/quick-base) business from July 2010 to March 2016. She also served as a director of Quartz Holding Company, the holding company of [QuickBase](/org/quick-base) from November 2016 until its sale in April 2019. Prior to joining [Intuit](/org/intuit), she held several sales and product marketing positions with Oracle Corporation. Ms.Mnookin received her A.B. with honors from Harvard College and her M.B.A. from the [Harvard Business School](/org/harvard-business-school).

Ms. Mnookin’s pertinent qualifications include her 20-year career in the technology industry, including executive leadership of high-growth cloud and business software companies, as well as service as a director of [Bill.com](/org/bill-com), a public company that provides cloud-based software to simplify and automate back-office financial transactions for small- and mid-sized businesses. These experiences, including general management in [Intuit](/org/intuit)’s small business division where she was responsible for leading a portfolio of [Intuit](/org/intuit)’s business products, shaped her understanding of how businesses have transformed their technologies to increase strategic advantage.

Allison H. Mnookin

Mr. Schifter is a senior advisor of TPG, a leading global private investment firm. He was a partner at TPG from 1994 through 2013. Prior to joining TPG, Mr. Schifter was a partner at the law firm of [Arnold & Porter](/org/arnold-porter-kaye-scholer-llp) in Washington, D.C., where he specialized in bankruptcy law and corporate restructuring. He joined [Arnold & Porter](/org/arnold-porter-kaye-scholer-llp) in 1979 and was a partner from 1986 through 1994. Mr. Schifter currently serves on the board of advisors of the University of Pennsylvania Law School. Mr. Schifter received a B.A. with distinction from [George Washington University](/org/gwu) and a J.D. cum laude from the University of Pennsylvania Law School.

Mr. Schifter’s pertinent qualifications include his high level of financial literacy gained through his investment experience as a TPG partner; experience on other company boards and board committees; and nearly 15 years of experience as a corporate attorney with an internationally-recognized law firm.

Richard P. Schifter

Mr. Steinmeier has served as managing director and divisional president, business development of [LPL Financial](/org/lpl-financial) since August 2018. In this role, he has responsibility for recruiting new financial advisors and institutions to [LPL Financial](/org/lpl-financial) and to existing advisor practices, as well as exploring new markets and merger and acquisition opportunities.

Prior to joining [LPL Financial](/org/lpl-financial), Mr. Steinmeier served as managing director, head of digital strategy and platforms for UBS Wealth Management Americas from September 2017 to August 2018 and as managing director, head of the Emerging Affluent Segment and Wealth Advice Center from August 2012 to September 2017. Prior to UBS, Mr. Steinmeier held a variety of leadership roles at Merrill Lynch, most recently as managing director of the Merrill Edge Advisory Center from February 2009 to August 2012. Prior to joining Merrill Lynch, he served as an engagement manager at [McKinsey & Company](/org/mckinsey-company) from 2002 to 2006.

Mr. Steinmeier earned a B.S. in economics from the Wharton School at the University of Pennsylvania and an M.B.A. from [Stanford University](/org/stanford).

Rich Steinmeier

Ms. Eberhart currently serves as chair and chief executive officer of HMS Ventures, a privately-held business involved with technology services and the acquisition and management of real estate. From 2011 through 2014, she served as president and chief executive officer of CDI Corp. (“CDI”), a provider of engineering and information technology outsourcing and professional staffing services that was then a public company. Ms. Eberhart also served as chair and chief executive officer of HMS Ventures from January 2009 until January 2011. She served as president and chief executive officer of Invensys Process Systems, Inc. (“Invensys”), a process automation company, from January 2007 to January 2009. From 1978 to 2004, she was an employee of Electronic Data Systems Corporation (“EDS”), an information technology and business process outsourcing company that was subsequently acquired by the Hewlett-Packard Company, and held roles of increasing responsibility over time, including senior level financial and operating roles at the company, including as president of Americas of EDS from 2003 until March 2004 and senior vice president of EDS and president of Solutions Consulting from 2002 to 2003. She is a Certified Public Accountant and received her B.S. from [Bowling Green State University](/org/bowling-green-state-university).

Ms. Eberhart’s pertinent qualifications include her wealth of managerial and executive experience, gained through her leadership as the chief executive officer of CDI, formerly an NYSE-listed public company, and Invensys, as well as her numerous years of service as an executive officer of EDS, including president of Americas; financial and accounting expertise gained through various other operating and financial positions during her 26 years at EDS; strong knowledge of the intersection of technology, data and finance industries; and knowledge and experience gained through her service on the boards of other public companies, including risk oversight experience in chairing the governance and risk committee of the board of directors of Anadarko Petroleum Corporation.

Paulett Eberhart

Mr. Bernard served as the vice chair of the board of directors of T. Rowe Price Group, Inc. (“TRP”), a global investment management firm, from 2007 to April 2019. Mr. Bernard served as a vice president of TRP from 1989 to December 2018 and as a member of the management committee of TRP from 2000 to December 2018. He oversaw TRP’s marketing, distribution, client service, information technology and communications activities from 2006 until December 2018. He also served as chair of the board of all sponsored TRP mutual funds and trusts during that period and as president and/or chair of T. Rowe Price Investment Services, a registered broker/dealer, from 1996 to 2018. Mr. Bernard served as a director of TRP from 1999 to April 2019 and currently serves as a director of UTI Asset Management Company of India. He previously served as chair of the board of governors, and as a member of the executive committee, of the [Investment Company Institute](/org/investment-company-institute), the national trade association for the mutual fund industry. Mr. Bernard received his B.A. from [Brown University](/org/brown-university) and an M.B.A. from [New York University](/org/nyu).

Mr. Bernard’s pertinent qualifications include expertise in the wealth management industry, gained through his 30 years of experience in investment management and leadership roles as a member of the board of governors the [Investment Company Institute](/org/investment-company-institute); his high level of operating, management and strategic planning experience, gained through his executive positions and roles as vice chair of the board of directors of TRP and chair of all sponsored TRP mutual funds and trusts; and his deep understanding of financial product distribution, compliance requirements and the perspectives of advisors and their retail clients, including with respect to the use of technology, product and analytics as a competitive differentiator.

Edward C. Bernard

Ms. Mulcahy served as chair of the board of trustees of Save The Children Federation, Inc., a non-profit organization dedicated to creating lasting change in the lives of children throughout the world, from March 2010 to February 2017. She previously served as chair of the board of [Xerox](/org/xerox) Corporation (“Xerox”), a global business services and document technology provider, from January 2002 to May 2010, and chief executive officer of [Xerox](/org/xerox) from August 2001 to July 2009. Prior to serving as a chief executive officer, Ms. Mulcahy was president and chief operating officer of [Xerox](/org/xerox). Ms. Mulcahy received a B.A. from Marymount College of Fordham University.

Ms. Mulcahy’s pertinent qualifications include her extensive experience in all areas of business management and strategic execution as she led [Xerox](/org/xerox) through a transformational turnaround; valuable insights into organizational and operational management issues, including business innovation, financial management and talent development; and leadership roles in business trade associations and public policy activities, which provide the Board with additional expertise in the area of organizational effectiveness.

Anne M. Mulcahy

Mr. Glavin served as chair of [OppenheimerFunds](/org/oppenheimerfunds), Inc., a global asset management firm (“OppenheimerFunds”), from 2009 until 2015, as chief executive officer from 2009 until 2014, and as president from 2009 until 2013. [OppenheimerFunds](/org/oppenheimerfunds) is a majority owned subsidiary of [MassMutual](/org/massmutual) Financial Group (“MassMutual”), a mutual life insurance company, at which Mr. Glavin held several senior executive positions prior to joining [OppenheimerFunds](/org/oppenheimerfunds). He served as co-chief operating officer of [MassMutual](/org/massmutual) from 2007 to 2008, executive vice president, U.S. Insurance Group of [MassMutual](/org/massmutual) from 2006 to 2008, president and chief executive officer of Babson Capital Management LLC (“Babson”), an asset management firm and subsidiary of [MassMutual](/org/massmutual), from 2005 until 2006 and chief operating officer of Babson from 2003 to 2005. Prior to joining [MassMutual](/org/massmutual), Mr. Glavin was president and chief operating officer of Scudder Investments, an asset management firm, from 2000 to 2003. Mr.Glavin received his B.A. in Economics and Accounting from the [College of the Holy Cross](/org/college-of-the-holy-cross).

Mr. Glavin’s pertinent qualifications include his experience over the course of a 25-year career in the financial services industry, including as a chief executive officer and chief operating officer; extensive experience in strategic planning and talent management, in part based on his success in leading Oppenheimer through a period of significant market turbulence; a deep understanding of financial product distribution, compliance and operations, including technology demands in the financial services industry; and experience overseeing broker-dealers, including [MassMutual](/org/massmutual)’s broker-dealer MML Investor Services, LLC.

William F. Glavin

Marvin Clark

Mihal served as president of Waddell & Reed, Inc., the broker-dealer subsidiary of Waddell & Reed Financial, Inc. that LPL acquired April 30. Before becoming president, Mihal held senior vice president and chief operating officer roles at Waddell & Reed, Inc. Prior to that, Mihal worked at Great American Advisors, Inc. and Transamerica Financial Advisors, Inc., where he held compliance leadership roles and led bank and credit union networking arrangements, helping financial institutions navigate the fast-paced and ever-changing economic landscape.

Mihal received a bachelor’s in Economics from the [University of Cincinnati](/org/university-of-cincinnati), and holds FINRA 7, 24, and 66 licenses.

Shawn Mihal

Mr. Putnam has served as chair of the Board of Directors since March 2017, and he served as our lead director from June 2016 until March 2017. He was employed by [LPL Financial](/org/lpl-financial) from 1983 to 2005 and served as its managing director of national sales from 1987 to 2005. In that role, he was responsible for the recruitment, retention and management of [LPL Financial](/org/lpl-financial) advisors, as well as branch development, marketing and all product sales. Mr. Putnam also previously served as the chief executive officer of Global Portfolio Advisors (“GPA”), formerly a global brokerage clearing services provider that sold substantially all of its operations in 2014. GPA was under common ownership with [LPL Financial](/org/lpl-financial) until 2005, and Mr. Putnam served as chief executive officer of GPA from 2004 until 2014. He began his securities career as a retail representative with Dean Witter Reynolds in 1979. Mr. Putnam received a B.A. from [Western Illinois University](/org/western-illinois-university).

Mr. Putnam’s pertinent qualifications include his unique historical perspective and insights into our operations as our former managing director of national sales; operating, business and management experience as the chief executive officer at GPA; and expertise in the financial industry and deep familiarity with our advisors.

James S. Putnam

Matthew Audette

Dan Arnold is currently the President and CEO of [LPL Financial](/org/lpl-financial). Dan has held this position since June of 2011. Prior to this, they were the Managing Director and Divisional President of [LPL Financial](/org/lpl-financial) from December of 2006 to June of 2011. 

Before their time at [LPL Financial](/org/lpl-financial), Dan Arnold was the President and COO of UVEST Financial Services from March of 1996 to January of 2007.

Dan Arnold's educational career includes a Master of Business Administration (M.B.A.) from [Georgia State University](/org/georgia-state-university) and a Bachelor's of Science from [Auburn University](/org/auburn-university) in Electrical Engineering.

Some individuals on their team include Matthew Audette - Managing Director, CFO, Heather Carter - EVP, Chief Marketing & Communication Officer, and John O'Neill - Chief Compliance Officer.

LPL Financial

Org chart

Teams

Leadership Team

CEO and Executive Team

Board of Directors

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