Charis Jones

Charis Jones is the Senior Vice President and Chief Supervisory Officer.  She is responsible for overseeing the supervisory organization, which serves as front line supervision for HOS advisors and OSJ Branch Managers across the independent and institutional channels.  She is responsible for all aspects of supervision including advisor onboarding, OBAs, complex product supervision, corporate supervision, enterprise oversight, and advisor discipline.

Previously, Charis was the Deputy Chief Compliance Officer for Advisory Compliance and oversaw the Corporate Advisory Product and Platform Compliance team, Hybrid Compliance Oversight team, Financial Planning, and Private Trust Company Compliance.

Prior to joining LPL, Charis was the Deputy Chief Compliance Officer of the Registered Investment Adviser MSSB at Morgan Stanley.  There, she managed the investment advisory surveillance program and a team that performed essential compliance functions for the advisory programs and services.  Additionally, she was a member of various committees, including the Product Review Committee for Separately Managed Accounts, Proxy Voting Committee and the Risk Committee for the Discretionary Management Program. Prior to Morgan Stanley, she was an Administrative Principal in the Office of Supervisory Jurisdiction for the Law Firm Group and High Net Worth Organizations within Citigroup Private Bank.

Charis began her career over 20 years ago as an Account Executive for Chatfield Dean and Associates after earning her Bachelor of Arts in Political Science and a Correlate in Russian Studies from Vassar College.