People: LPL Financial Holdings Inc (LPLA.O)

LPLA.O on Nasdaq

43.98USD
19 Dec 2014
Price Change (% chg)

$-0.67 (-1.50%)
Prev Close
$44.65
Open
$44.63
Day's High
$44.75
Day's Low
$43.87
Volume
989,116
Avg. Vol
972,387
52-wk High
$56.45
52-wk Low
$38.34

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Summary

Name Age Since Current Position

Mark Casady

53 2007 Chairman of the Board, Chief Executive Officer

Robert Moore

52 2013 President, Chief Operating Officer; President - Advisor and Institution Solutions at LPL Financial

James Putnam

59 2005 Independent Vice Chairman of the Board

Dan Arnold

49 2012 Chief Financial Officer

Jeffrey Buchheister

42 2014 Principal Accounting Officer

George White

44 2012 Chief Investment Officer, Managing Director - Research

Victor Fetter

45 2012 Chief Information Officer, Managing Director

Joan Khoury

50 2012 Chief Marketing Officer, Managing Director

Michelle Oroschakoff

52 2013 Chief Risk Officer, Managing Director

David Bergers

46 2013 General Counsel, Managing Director - Legal and Government Relations

Mark Helliker

50 2008 Managing Director - Clearing and Compliance Services

J. Andrew Kalbaugh

50 2012 Managing Director - Institution Services

Sallie Larsen

60 2012 Chief Human Capital Officer, Managing Director

Richard Boyce

59 2009 Independent Director

John Brennan

60 2010 Independent Director

H. Paulett Eberhart

60 2014 Independent Director

Anne Mulcahy

61 2013 Independent Director

James Riepe

70 2008 Independent Director

Richard Schifter

61 2005 Independent Director

Trap Kloman

Senior Vice President - Investor Relations

Biographies

Name Description

Mark Casady

Mr. Mark S. Casady is Chairman of the Board, Chief Executive Officer of LPL Financial Holdings Inc. He joined the Company in May 2002 as chief operating officer, became president in April 2003, and became chief executive officer and chairman in December 2005. Before joining the firm, Mr. Casady was managing director, mutual fund group for Deutsche Asset Management, Americas — formerly Scudder Investments. He joined Scudder in 1994 and held roles as managing director — Americas; head of global mutual fund group and head of defined contribution services. He was also a member of the Scudder, Stevens and Clark Board of Directors and Management Committee. He is former chairman and a current board member of the Insured Retirement Institute and serves on FINRA’s board of governors. Mr. Casady received his B.S. from Indiana University and his M.B.A. from DePaul University.

Robert Moore

Mr. Robert J. Moore is President, Chief Operating Officer of LPL Financial Holdings Inc., and President - Advisor and Institution Solutions at LPL Financial LLC, an indirect subsidiary of the Company. Mr. Moore has served as president of LPL Financial since May 2012. He joined the Company in 2008 as chief financial officer until his appointment as president and chief operating officer in May 2012. The title of chief operating officer was subsequently determined to be unnecessary to reflect Mr. Moore's role and responsibilities associated with his May 2012 appointment. Mr. Moore is focused on identifying and enhancing revenue opportunities, both through new business ventures and through the delivery of services that support the growth of customers. In this role, Mr. Moore oversees the firm’s Advisor and Institution Solutions business unit, which is comprised of several distinct business lines and services including: Custom Clearing Services, Corporate Development and Investment Platform Solutions, Investment and Planning Solutions, Strategic Investments, Fortigent and The Private Trust Company, Research, LPL Insurance Associates, and Marketing. Prior to joining LPL Financial, from 2006 to 2008, Mr. Moore served as chief executive officer and chief financial officer at ABN AMRO North America and LaSalle Bank Corporation. Before those roles, Mr. Moore worked for Diageo PLC, Europe and Great Britain, in a number of finance management positions, ultimately serving as chief financial officer. Mr. Moore has a B.B.A. in finance from the University of Texas, Austin and a M.M. in finance, marketing and international business from Northwestern University and is a Chartered Financial Analyst (CFA).

James Putnam

Mr. James S. Putnam is Independent Vice Chairman of the Board of LPL Financial Holdings Inc. He has been chief executive officer of Global Portfolio Advisors ("GPA"), a global brokerage clearing services provider, since September 2004. He has served on the board of directors of GPA since 1998, and has been vice chairman since December 2005. Prior to his tenure with GPA, Mr. Putnam was employed by LPL Financial beginning in 1983 where he held several positions, culminating in managing director of national sales, responsible for branch development, attraction, retention, and management of LPL Financial advisors. He was also responsible for marketing and all product sales. Mr. Putnam began his securities career as a retail representative with Dean Witter Reynolds in 1979. Mr. Putnam received a B.A. in Law Enforcement Administration from Western Illinois University.

Dan Arnold

Mr. Dan H. Arnold, Jr., serves as Chief Financial Officer of LPL Financial Holdings Inc., effective June 15, 2012. He is responsible for formulating financial policy, the Company's capital management efforts, and ensuring the effectiveness of the organization's financial functions. Before assuming this role in 2012, Mr. Arnold was managing director, head of strategy, with responsibility for developing long-term strategic plans and assessing the trends prevalent in the industry. He has also served as divisional president of Institution Services business. Mr. Arnold joined the firm in January 2007 following the acquisition of UVEST. Prior to joining the Company, Mr. Arnold worked at UVEST for 13 years, serving most recently as president and chief operating officer. Mr. Arnold is a graduate of Auburn University and holds an M.B.A. in finance from Georgia State University.

Jeffrey Buchheister

Mr. Jeffrey R. Buchheister is appointed as Principal Accounting Officer of the company effective August 1, 2014. From June 2009 to June 2014, Mr. Buchheister served in various leadership roles at LPL Financial, most recently as senior vice president, AIS business management from November 2012 to June 2014. From June 2009 to October 2012, he served in various capacities as a senior vice president in the Client Support Services department of LPL Financial. Mr. Buchheister served as vice president & chief accounting officer of LPL Financial from January 2006 to June 2009.

George White

Mr. George B. White is Managing Director - Research and Chief Investment Officer of LPL Financial Holdings Inc. He is responsible for the strategic direction and continued growth of the LPL Financial research platform. His role includes setting the vision for superior research capabilities and enabling the delivery of conflict-free, objective investment advice by LPL Financial advisors. Prior to joining the Company in 2007, Mr. White served as a managing director and director of research for Wachovia Securities for 10 years. Mr. White also was an investment analyst for Mercer Investment Consulting, where he provided investment advice to institutional clients. He started his financial services career on the buy side of the business as a research analyst for Thompson, Siegel, and Walmsley, a value-oriented asset manager. Mr. White received a B.B.A. from the College of William and Mary.

Victor Fetter

Mr. Victor P. Fetter is Managing Director, Chief Information Officer of LPL Financial Holdings Inc. Mr. Fetter has oversight of the LPL Financial Business Technology Services business unit. He is responsible for executing the company's commitment to investing in the people and processes necessary to deliver the technologies in the industry for LPL Financial advisors and employees. Prior to joining the Company in December 2012, Mr. Fetter was vice president and chief information officer for Dell Online, where he led the digital transformation of Dell's approach to providing global, multi-channel solutions for consumers and commercial customers. Earlier, Mr. Fetter worked at Mercer Human Resource Consulting, where he served as director of global applications development, chief information officer, and ultimately global chief information officer during his tenure. He held previous positions at Hewitt Associates LLC and Electronic Data Systems. Mr. Fetter has a B.S. in computer information systems from Spring Hill College in Mobile, AL.

Joan Khoury

Ms. Joan D. Khoury is Chief Marketing Officer, Managing Director of LPL Financial Holdings Inc. She is responsible for driving the company's overall marketing strategy, executing the programs necessary to drive profitable growth and innovation, and broadening the company's strategic reach. Ms. Khoury joined the Company in 2012 from Merrill Lynch, where she served as senior vice president and strategic marketing executive. Prior to this role, Ms. Khoury was senior vice president and global head of marketing, for Wachovia, Evergreen Investments; managing director and group head of the global marketing division for Bank of New York Mellon; and vice president, marketing manager, for Bank of America. She began her professional career managing marketing and communications for United Way in Macon, Georgia. Ms. Khoury earned a B.A. in business administration from Wesleyan College in Georgia.

Michelle Oroschakoff

Ms. Michelle Oroschakoff serves as Chief Risk Officer, Managing Director of LPL Financial Holdings Inc. Ms. Oroschakoff is managing director, chief risk officer for LPL Financial and vice chairman of the Risk Oversight Committee. Ms. Oroschakoff has more than 20 years of financial services industry experience deeply rooted in legal, compliance and risk management. She joined us in 2013 from Morgan Stanley, where she most recently served as managing director and global chief risk officer of the firm’s Wealth Management Group, as well as chief compliance officer for Morgan Stanley Smith Barney. Earlier in her career at Morgan Stanley, Ms. Oroschakoff spent 11 years in a variety of legal and compliance roles, including associate general counsel and head of the firm’s San Francisco litigation department. She also served as the general counsel for a large and successful RIA firm, where she became familiar with the independent model. Ms. Oroschakoff earned a J.D. from the University of Michigan and a B.A. in English literature from the University of Oregon.

David Bergers

Mr. David P. Bergers serves as General Counsel, Managing Director - Legal and Government Relations of LPL Financial Holdings Inc., effective August 5, 2013. Mr. Bergers comes to LPL Financial after 13 years with the Securities and Exchange Commission (SEC), most recently as acting deputy director of the enforcement division in Washington, D.C. He was director of the SEC's Boston regional office from 2006 to 2013. Mr. Bergers previously practiced at law firms in Philadelphia and Boston, and served as a vice president and assistant general counsel of a regional broker-dealer, as well as primary counsel to an affiliated investment adviser. Mr. Bergers obtained his bachelor's degree in 1989 from Eastern Nazarene College, and earned his law degree in 1992 at Yale Law School.

Mark Helliker

Mr. Mark R. Helliker is Managing Director - Clearing and Compliance Services of LPL Financial Holdings Inc. He leads the company's Broker/Dealer Support Services and Governance, Risk, & Compliance business units, two areas with service, process, and controls orientations. He is responsible for enhancing the customer experience by overseeing the day-to-day management of customer-side operations, new-advisor transitions, and enterprise-wide risk management processes. Prior to joining the Company, Mr. Helliker worked at Charles Schwab for 10 years, most recently as senior vice president of Charles Schwab Institutional. Mr. Helliker has a B.A. in political science from the University of Portsmouth in England and an M.B.A. in management from San Diego State University.

J. Andrew Kalbaugh

Mr. J. Andrew Kalbaugh is Managing Director - Institution Services of LPL Financial Holdings Inc. He is responsible for the growth, satisfaction, and retention of financial institutions; attracting new financial institutions to the firm; and helping banks and credit unions add new advisors to their programs. Previously, Mr. Kalbaugh served as executive vice president, business consulting, for Independent Advisor Services. Prior to joining the Company in 2007, he was president, CEO, and chairman of American General Securities Incorporated and served as director of the AIG Advisor Group. Earlier, he was vice president and chief marketing officer for American General Securities Incorporated. Previous positions include eastern regional director of sales for The Advisors Group and senior trader for Calvert Securities Corporation. Mr. Kalbaugh is a Certified Financial Planner and has a B.A. in business and economics from the University of Maryland.

Sallie Larsen

Ms. Sallie R. Larsen is Chief Human Capital Officer, Managing Director of LPL Financial Holdings Inc., since 2012. She is responsible for overseeing Compensation & Benefits, Corporate Communication, Real Estate and Facilities, Human Resources Operations, Human Resources Client Consulting, and Talent Development. Ms. Larsen joined the Company in 2012 from the Federal Home Loan Bank/Office of Finance, where she was the chief human resources officer. In earlier roles, Ms. Larsen was a managing vice president of human resources for Capital One Financial Corporation, senior vice president of human resources for Marriott International, and vice president of human resources and communications for TRW Inc. Ms. Larsen earned a M.A. in communications from Purdue University, a B.A. in sociology from California Lutheran University, and a certificate in executive leadership coaching from Georgetown University.

Richard Boyce

Mr. Richard Boyce is Independent Director of LPL Financial Holdings Inc. He is a partner at TPG Capital. He founded and leads TPG Capital’s Operating Group, which drives performance improvement across all TPG companies. In his first role with TPG, he served as chief executive officer of J. Crew Group, Inc., from 1997 to 1999, and as a board member from 1997 to 2006. He became chairman of Burger King Corporation in 2002 and served on that board through 2010. He also serves on the board of Direct General Corporation. Prior to joining TPG, Mr. Boyce was employed by PepsiCo. Inc. from 1992 to 1997, including as senior vice president of operations for Pepsi-Cola North America. He has previously served on the boards of directors of several other TPG Capital companies, including Del Monte Foods, ON Semiconductor and Gate Gourmet, currently serves on the Wake Forest University School of Business Board of Visitors, and is a member of the Board of Overseers of the Hoover Institution at Stanford. Mr. Boyce received a B.S.E. from Princeton University and received his M.B.A. from the Stanford Graduate School of Business.

John Brennan

Mr. John J. Brennan is Independent Director of LPL Financial Holdings Inc. He is chairman emeritus and senior advisor of The Vanguard Group, Inc. Mr. Brennan joined Vanguard in July 1982. He was elected president in 1989 and served as chief executive officer from 1996 to 2008 and chairman of the board from 1998 to 2009. Mr. Brennan is a member of the board of directors of The Hanover Insurance Group, Inc. and Guardian Life Insurance Company of America; chairman of the Financial Accounting Foundation; a member of FINRA’s board of governors; a director of the United Way of Southeastern Pennsylvania; and a trustee of the University of Notre Dame and King Abdullah University of Science and Technology. He graduated from Dartmouth College and received his M.B.A. from the Harvard Business School. He has received honorary degrees from Curry College and Drexel University.

H. Paulett Eberhart

Ms. H. Paulett Eberhart is Independent Director of the Company. Ms. Eberhart joins the LPL Board of Directors from CDI Corporation where she was president and CEO from 2011 to 2014. Previously, Ms. Eberhart held positions as president and CEO of Invensys, chairman and CEO of HMS Ventures, and a variety of senior-level and executive positions at EDS Corporation. Ms. Eberhart began her career at M.D. Anderson Cancer Center after earning a B.S. in Business Administration from Bowling Green State University. She currently sits on the Board of Directors at Anadarko Petroleum Corporation and Cameron International Corporation.

Anne Mulcahy

Mrs. Anne M. Mulcahy serves as Independent Director of LPL Financial Holdings Inc. She is chairman 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, a position she has held since March 2010. She previously served as chairman of the board of Xerox Corp. ("Xerox"), a document management company, from January 2002 to May 2010, and chief executive officer of Xerox from August 2001 to July 2009. She is a director of Graham Holdings Company, Target Corp., and Johnson & Johnson. From 2004 to 2009, Ms. Mulcahy also served as a director of Citigroup Inc.

James Riepe

Mr. James S. Riepe, Jr., is Independent Director of LPL Financial Holdings Inc., since February 2008. He is a senior advisor and retired vice chairman of the board of directors of T. Rowe Price Group, Inc. ("TRP"), a global investment management firm, where he worked for nearly 25 years. Previously, he served on TRP's management committee, oversaw TRP's mutual fund activities, and served as chairman of the T. Rowe Price Mutual Funds. He served as chairman of the board of governors of the Investment Company Institute and was a member of the board of governors of the National Association of Securities Dealers (now FINRA) and chaired its Investment Companies Committee. Mr. Riepe is a member of the board of directors of The NASDAQ OMX Group, Genworth Financial Inc., UTI Asset Management Company of India, and the Baltimore Equitable Society. He also served as chairman of the board of trustees of the University of Pennsylvania from which he earned a B.S. and an M.B.A.

Richard Schifter

Mr. Richard P. Schifter is Independent Director of LPL Financial Holdings Inc. He has been a TPG partner since 1994. Prior to joining TPG, Mr. Schifter was a partner at the law firm of Arnold & Porter in Washington, D.C., where he specialized in bankruptcy law and corporate restructuring. He joined Arnold & Porter in 1979 and was a partner from 1986 through 1994. Mr. Schifter currently serves on the board of directors of American Beacon Advisors, Inc., Direct General Corporation, EverBank Financial Corp., ProSight Specialty Insurance Holdings, Inc., and Republic Airways and on the board of overseers of the University of Pennsylvania Law School. Mr. Schifter is also a member of the board of directors of Youth, I.N.C. (Improving Non-Profits for Children). Mr. Schifter received a B.A. from George Washington University and graduated from the University of Pennsylvania Law School.

Trap Kloman

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