Teams at LPL Financial

Senior Regional Supervisory Principal oversees holistic supervision of home office supervision (HOS) advisors and OSJ managers, resolves escalated complex issues, maintains relationships as main compliance contact, supports supervisory teams to ensure advisors meet regulatory and firm standards, and provides guidance to maintain compliant business practices.

The Senior Regional Supervisory Principal supervises HOS advisors and OSJ managers, resolves complex issues, and ensures compliance with regulatory standards.

Lead the administrative transition experience for financial advisors, ensuring seamless onboarding and enhancing the advisor experience through strategic coordination and relationship management.