Jim McHale Email & Phone Number
Executive Vice President and Chief Compliance Officer @ LPL Financial
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Jim McHale Location
- Charlotte, NC, US
Jim McHale Work
- Executive Vice President and Chief Compliance Officer @ (October 2023 - Present)
- EVP and Head of Compliance, Wealth and Investment Management Division @ (February 2020 - November 2023)
- Executive Vice President and Business Risk and Control Leader @ (February 2019 - February 2020)
- Chief Compliance Officer, Wells Fargo Retail Brokerage @ (October 2014 - February 2019)
- Global Head of Brokerage Compliance @ (April 2012 - August 2014)
- Managing Director and Associate General Counsel @ (January 2010 - April 2012)
- Associate General Counsel @ (February 2004 - January 2010)
- Senior Associate @ (August 1999 - January 2004)
- Special Counsel @ (January 1995 - January 1999)
Jim McHale Education
- University of South Carolina Joseph F. Rice School of Law 1989-1991
Jim McHale Skills
- Securities Regulation
- FINRA
- Securities
- SEC
- Capital Markets
- Corporate Governance
- Equities
- Series 7
- Derivatives
- AML
- Hedge Funds
- Series 24
- Due Diligence
- Mergers
- Financial Services
- FCPA
- Investments
- Licensing
- Mutual Funds
- Financial Regulation
- OFAC
- Alternative Investments
- Series 63
- Broker-Dealer
- Options
- Mergers & Acquisitions
- USA PATRIOT Act
- Risk Management
- KYC
- Private Equity
- Investment Advisers Act
- Compliance
- Retail Brokerage
- Legal
- Broker Dealer
- Mergers and Acquisitions
Jim McHale Summary
- Jim McHale, based in Charlotte, NC, US, is currently a Executive Vice President and Chief Compliance Officer at LPL Financial. Jim McHale brings experience from previous roles at Wells Fargo, Wells Fargo Advisors and E*TRADE Financial. Jim McHale holds a 1989 - 1991 University of South Carolina Joseph F. Rice School of Law. With a robust skill set that includes Securities Regulation, FINRA, Securities, SEC, Capital Markets and more. Jim McHale has 1 emails and 4 mobile phone numbers on RocketReach.
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