Rick Sheehan

Rick Sheehan is currently a SVP with the Compliance division of LPL Financial.  In this role he oversees the Compliance program for Trading, Operations, Finance, Registrations and Electronic Communications for LPL as well as oversight for the LPL Business Solutions initiative.

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.