The Compliance and Legal Team at LPL Financial ensures that the company and its affiliated financial advisors adhere to regulatory standards and legal requirements. They manage compliance programs, conduct investigations, oversee risk management, provide legal counsel, and handle issues related to privacy, anti-money laundering (AML), and eDiscovery. This team plays a critical role in safeguarding the company's integrity and supporting its operational and strategic initiatives.
Althea Brown
MD & Chief Legal Officer
Belynda Campbell
Senior Compliance Specialist
Corinne H.
Vice President, Associate Gene...
Jay Harper
Vice President & Associate Cou...
Jim McHale
Executive Vice President And C...
Joel G Janssen
Senior Regional Supervisory Pr...
John O'Neill
Chief Compliance Officer
Kabir Sethi
Managing Director, Chief Produ...
Kelly Davis
Supervisory Principal
Kelly Gentenaar
Svp, Chief AML Officer
Laura Troyer
Senior Investigator
Laura Troyer
Senior Investigator, Legal Dep...
Mercedes Bravo
Senior Compliance Officer
Michael Hartman
Chief Compliance Officer & Dir...
Morgan Russo
Supervisory Principal
Nils Ericson
Sr. Regional Supervisory Princ...
Ryan Burch
Senior Vice President, Associa...
Steve Morrison
Senior Vice President - Associ...