November 28, 2023

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Matthew Morningstar Joins LPL Financial as EVP, Compliance, Legal & Risk

CHARLOTTE, N.C., Sept. 07, 2021 (World NEWSWIRE) — LPL Monetary LLC nowadays declared that Matthew Morningstar has joined the company as govt vice president, Compliance, Legal & Threat, successful Sept. seven. In his position, Morningstar has oversight of the firm’s litigation, arbitrations, regulatory issues, and purchaser disputes. He reports to Michelle Oroschakoff, LPL chief authorized officer and controlling director, Compliance, Legal & Threat.

“Matt is a verified litigator and leader with deep knowledge of our industry’s authorized and regulatory surroundings. With his authorized skills and strategic acumen, he will more empower us to lengthen a purchaser treatment solution to our authorized features and drive good outcomes for our enterprise companions,” mentioned Oroschakoff. “In addition, Matt understands the toughness that arrives from numerous teams with multitudes of views and ordeals. His steadfast dedication to social justice and variety conjures up us all. We are assured Matt will guide his team with the very same individuals-oriented solution and give sizeable aid to LPL’s variety and inclusion initiatives. We are amazingly lucky to have him sign up for the LPL family.”

Morningstar joins LPL from Morgan Stanley, where he most recently served as head of Litigation and Regulatory Enforcement for the Expenditure Management division. Morningstar been given a bachelor’s degree from Columbia University and a legislation degree from Cornell Law Faculty. When he’s not working, Morningstar devotes his time to activism and civic engagement. He is the co-chair of the Committee to Enhance Variety in the Occupation for the New York City Bar. In addition, he has been awarded the 2013 Out and Very pleased Corporate Counsel Award from the Nationwide LGBT Bar Affiliation and the Advisory Council Management Award from the Nationwide Affiliation of Minority and Ladies Owned Law Firms.

“I am thrilled to be section of LPL,” Morningstar mentioned. “I search forward to connecting and collaborating with LPL’s Compliance, Legal and Threat teams, as properly as clientele and colleagues throughout the firm and further than, to drive strategic excellence in the firm’s authorized features and lead to the mission of taking treatment of advisors so they can acquire treatment of their clientele.”

About LPL Monetary
LPL Monetary (Nasdaq: LPLA) was launched on the principle that the company really should perform for the advisor, and not the other way close to. Today, LPL is a leader* in the marketplaces we provide, supporting a lot more than 19,000 fiscal advisors, 800 establishment-based financial investment systems and 450 impartial RIA corporations nationwide. We are steadfast in our dedication to the advisor-centered design and the perception that Americans are worthy of entry to aim steerage from a fiscal advisor. At LPL, independence suggests that advisors have the independence they are worthy of to choose the enterprise design, products and services, and technology resources that let them to run their fantastic observe. And they have the independence to deal with their consumer associations, due to the fact they know their clientele best. Basically put, we acquire treatment of our advisors, so they can acquire treatment of their clientele.

*Top RIA custodian (Cerulli Associates, 2019 U.S. RIA Market Report) No. one Impartial Broker-Dealer in the U.S. (Centered on overall revenues, Monetary Planning journal 1996-2021) No. one service provider of third-celebration brokerage products and services to banks and credit score unions (2020-2021 Kehrer Bielan Research & Consulting Yearly TPM Report) Fortune five hundred as of June 2021

Securities and advisory products and services supplied by means of LPL Monetary LLC, an SEC-registered broker-vendor and financial investment advisor. Member FINRA/SIPC. 

Through this conversation, the conditions “financial advisors” and “advisors” are made use of to refer to registered reps and/or financial investment advisor reps affiliated with LPL Monetary LLC. We routinely disclose information that might be essential to shareholders in the “Investor Relations” or “Press Releases” portion of our internet site.

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Media Make contact with:
Lauren Hoyt-Williams
(980) 321-1232
[email protected]