John O'Neill

Chief Compliance Officer at LPL Financial

John O'Neill is the Chief Compliance Officer at LPL Financial. John has held this position since October 2017. Prior to this, they were the SVP, Compliance - Surveillance and Investigations at 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 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.


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  • Chief Compliance Officer

    Current role

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