Jim McHale

Role: LPL Financial
Location: Charlotte, NC, US
LinkedIn followers: 500 followers

OtherView LinkedIn profile

Experience

LPL Financial
Present

Skills

Securities Regulation
Finra
Securities
Sec
Capital Markets
Corporate Governance
Equities
Series 7
Derivatives
Aml
Hedge Funds
Series 24
Due Diligence
Mergers
Financial Services
Fcpa
Investments
Fraud
Licensing
Mutual Funds
Financial Regulation
Ofac
Alternative Investments
Series 63
Broker-Dealer
Options
Mergers & Acquisitions
USA Patriot Act
Risk Management
Kyc
Private Equity
Investment Advisers Act

Contact information

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Work email
•••••@lpl.com
Personal email
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Current company

LPL Financial

Financial Services · 15K employees · Founded 1989 · San Diego, California, United States

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 29,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. Third-party posts found on this profile don’t reflect the views of LPL Financial and haven’t been reviewed by LPL Financial as to accuracy or completeness. The financial professionals associated with LPL Financial may discuss or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state. finra.org sipc.org

lpl.com

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