People Moves

LPL Financial Appoints Independent Advisor Services Exec, VP

Eliane Chavagnon 27 February 2012

LPL Financial Appoints Independent Advisor Services Exec, VP

LPL Financial, the independent broker-dealer and subsidiary of LPL Investment Holdings, has named Mimi Bock as executive vice president of independent advisor services.

Bock will be based in San Diego, CA and will report directly to Derek Bruton, managing director and IAS national sales manager, the firm said.

As executive vice president, Bock will be responsible for overseeing the growth of over 4,500 advisor branch offices, as well as for leading the firm's business consulting, relationship management, and education and consulting teams.

Bock brings more than 25 years of financial services experience to her new role. Prior to joining LPL she was a managing director within the global wealth management division of Morgan Stanley Smith Barney, where she also served as director for the southeast US region.  

At Morgan Stanley, she held a variety of leadership positions in equity sales, financial advisor development, client marketing, and field management. 

Earlier in her career, Bock worked within institutional sales for Furman Selzand as a registered sales assistant for Laidlaw Adams and Peck & Bear Stearns in New York City.

In other recent developments, a group of eight advisors from US Wealth Management, with $2 million assets under management, joined LPL Financial’s Massachusetts office in December. 

John Napolitano, chief executive of US Wealth, joined alongside principals George Clarke, Thomas Morrone, Michael Alexander, Max Kolbrenner, Gary Oman, Timothy McCarthy and Michael Vlazquez.

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