Matt Applebaum

Senior Vice President, Associate General Counsel and Head of Regulatory Exams and Inquiries, LPL Financial

Matt Applebaum is a Senior Vice President in LPL’s Legal and Government Relations area, where he leads the team that manages regulatory matters from the SEC, FINRA, state regulatory agencies and others. Matt also coordinates the Firm’s regulatory interactions. Before joining LPL, Matt was a partner in the financial services group of an international law firm based in Boston, with a focus on securities enforcement, regulatory advice, and customer securities arbitrations.

Matt attended the University of Pennsylvania for his undergraduate studies and law school, and clerked for the Chief Justice of the Delaware Supreme Court.