LPL Financial Holdings Inc - Company Profile
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The following section provides information on LPL Financial Holdings Inc’s senior management, executives, CEO and key decision makers and their roles in the organization. For more insight into LPL Financial Holdings Inc's management and employees, unlock the full data with our company analytics monitoring tool.
Executives
James S. Putnam
Chairman Executive BoardMr. James S. Putnam has been the Chairman of the company since 2017. Prior to this, he served as a Managing Director of national sales from 1987 to 2005 of the company. Previously, he served as the Chief Executive Officer of Global Portfolio Advisors from 2004 to 2014. Earlier, he started his securities career as a retail representative with Dean Witter Reynolds in 1979.
Dan H. Arnold
Director; President; Chief Executive Officer Executive BoardMr. Dan H. Arnold has been the Chief Executive Officer and Director of the company since January 2017 and is its President since March 2015. Prior to this, he served as Chief Financial Officer of the company from November 2012 to March 2015. Previously, he served as Managing Director, and Head of Strategy. He has also served as Divisional President of the company's Institution Services business. Mr. Arnold joined the company in January 2007 following the acquisition of UVEST. Prior to joining us, he worked at UVEST for 13 years, serving most recently as President and Chief Operating Officer.
Matthew J. Audette
Managing Director; Chief Financial Officer Senior ManagementMr. Matthew Audette has been the Head of Business Operations of the company since February 2023 and is its Chief Financial Officer since 2015. He also serves as a Managing Director of the company. Prior to joining LPL, he served as Executive Vice President and Chief Financial Officer of E*TRADE Financial Corporation from January 2011 until June 2015. Mr. Audette began his career in the financial services practice at KPMG.
Althea Brown
Chief Legal Officer; Managing Director Senior ManagementMs. Althea Brown has been the Chief Legal Officer and Managing Director of the company since September 2023. Prior to this, she served as a Legal Director at Google. Previously she served at Morgan Stanley Smith Barney and J.P. Morgan Chase. She joined the company in 2023.
Jim McHale
Executive Vice President; Chief Compliance Officer Senior ManagementMr. Jim McHale has been the Chief Compliance Officer and Executive Vice President of the company since November 2023. Prior to this, he served as an Executive Vice President and Head of Compliance for the Wealth and Investment Management Division at Wells Fargo. Previously he served as a Global Head of Brokerage Compliance at E*TRADE Financial Corporation, Managing Director and Associate General Counsel at SIFMA.
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