Brian Soja

SVP and Associate General Counsel, Regulatory Exams & Inquiries, LPL Financial

Brian Soja serves as Senior Vice President and Associate General Counsel on LPL Financial’s Regulatory Exams and Inquiries (REI) team within the Firm’s Legal, Policy and Community Impact (LPC) Department, coordinating and producing responses on behalf of LPL to inquiries and enforcement investigations by FINRA and state securities regulators. Brian leads a dedicated team within REI that routinely provides regulatory advice and assistance to LPL’s bank and credit union partners, and he provides similar support to LPL’s trust bank affiliates, The Private Trust Company, N.A. and Fiduciary Trust Company of New Hampshire. Brian also oversees a growing pro bono program in LPC, with the goal of driving volunteer work within the department and enhancing LPL’s impact in local communities. Prior to joining LPL, Brian worked as a litigation associate at Moore & Van Allen in Charlotte, NC, and as an attorney in the Enforcement & Compliance Division of the Office of the Comptroller of the Currency in Washington, D.C.