Mark Seffinger

Deputy Chief Compliance Officer LPL Financial LLC

Mark Seffinger has over 25 years of experience in financial services, working as in-house counsel and as a compliance officer.  He is currently working for LPL as their Deputy Chief Compliance Officer.  Prior to LPL, Mark spent over 8 years in a variety of senior compliance roles 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 as its senior prime services and equity finance lawyer and headed Equities Legal prior to leaving for Barclays.  Mark also worked for several global investment banks prior to Deutsche Bank and began his legal career at Prudential Securities focusing on retail brokerage matters.  Mark is also a member of the SIFMA Compliance and Legal Executive Committee.