Brandon A. Gilchrist

Assistant Vice President, Surveillance & Investigations, LPL Financial LLC

Brandon A. Gilchrist
Assistant Vice President
Financial Intelligence Unit (FIU) Compliance, Legal & Risk
LPL Financial

Professional Background
Responsible for overseeing the firm’s Anti Money Laundering (AML) Investigations team to ensure the identification of potentially suspicious activity in accordance with federal & industry regulations including the submissions of Suspicious Activity Reports (SARs). Currently oversees staff and processes involved in Anti-Money Laundering including transaction monitoring, negative news screening, fraud, and insider trading. Previously supervised the firm’s Know Your Customer (KYC), Customer Identification Program (CIP), and Enhanced Due Diligence (EDD) teams.


– Bachelor of Science in Business Administration with a focus in Management and Human Resources
– Master of Business Administration with a focus in Organizational Leadership
– Series 7 – General Securities License
– Series 24 – General Securities Principal License
– Certified Anti-Money Laundering Specialist (CAMS)
– Certified Fraud Examiner (CFE)