COMPLIANCE & SUPERVISION

Our Office of Supervisory Jurisdiction (OSJ), is comprised of licensed LPL Financial general securities principals.  These principals supervise sales practices following all federal, state and FINRA rules and regulations, in addition to all LPL Financial policies and procedures.  Our main goal is to help you be as productive as possible while protecting you, your clients, and the firm from risk.

Risk Reduction

Keeping up with all required FINRA rules and regulations can be time-consuming, intimidating and overwhelming, due to the nature of the ever-evolving financial services industry.  Our seasoned Compliance and Supervision team understands every component of keeping your business compliant and is dedicated to ensuring you practice is run in a low risk environment.  All of the supervision is performed by non-producing, FINRA series 24 principals.  This allows us to have a more proficient and concentrated means of oversight and affords our staff the time and ability to provide the finest quality of service.  Our philosophy is to personally know each of you and to understand your business practices. With this type of hands-on approach, we can provide a more effective and supportive means to compliance.

The Compliance Team

David Rich

Partner & Chief Compliance Officer

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Jean Elzayek

Senior Compliance Officer

Michael Doody

LPL General Securities Principal

Check the background of investment professionals associated with this site on FINRA's BrokerCheck:

Jim Liddington

LPL General Securities Principal

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Lindsey Bessant

LPL General Securities Principal

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Joseph Napolitano

LPL General Securities Principal