John O’Neill

Chief Compliance Officer, LPL Financial LLC

John O’Neill is a Senior Vice President and the Chief Compliance Officer at LPL Financial.  John is responsible for brokerage and investment advisory compliance, policy management and communications, regulatory change and exam management, branch examinations, and surveillance and investigations.  John’s responsibilities also include oversight of the LPL’s fraud program.  John has been with LPL a total of seven years serving in a variety of compliance and legal roles.  John began his career and spent several years at Merrill Lynch, and he also spent time as an Executive Director in Wealth Management Compliance at UBS.  John has a bachelor’s degree from Boston College and a JD from Rutgers University Law School.  John and his family reside in Charlotte, North Carolina.