Mark Seffinger

Mark Seffinger has 30 years of experience in financial services as legal counsel and in senior compliance management roles.

Most recently, Mark was SVP and Chief Compliance Officer for LPL Financial. Prior to LPL, Mark spent over 8 years at Barclays, including his most recent role as Head of Barclays Compliance Services Americas. He also spent ten years at Deutsche Bank’s legal department serving as a senior prime services and equity finance lawyer prior to leaving for Barclays. Mark also worked for several global investment banks and began his legal career at Prudential Securities focusing on retail brokerage matters.

Mark holds Series 7 and 24 registrations and is also a member of the SIFMA Compliance and Legal Executive Committee. He graduated from University of Pennsylvania (Wharton School of Business) with a B.S. in Economics and has a J.D. from Fordham University School of Law.