Rick Sheehan
SVP, Compliance, Legal and Risk, LPL Financial
Rick Sheehan is the Chief Compliance Officer of LPL Enterprise, a division of LPL Financial and also the Compliance program for Trading, Operations, Finance, Registrations and Books and Records Program for LPL.
Mr. Sheehan was formerly Senior Manager of Correspondent and Advisory Services for RBC Wealth management where he provided oversight support to the Clearing Firm in execution of its control and risk management activities.
Mr. Sheehan was also formerly a Director of Compliance at Ameriprise Financial.
Mr. Sheehan received a B.A. degree in History from the University of Minnesota. He holds Series 7, 24 and 27 registrations.