Stephanie L. Brown serves as managing director and general counsel for LPL Financial Corporation, having joined the firm in 1989 as general counsel and vice president of compliance. Ms. Brown and her team of legal professionals provide legal support for LPL Financial Corporation, its holding companies, and various subsidiaries. This support includes negotiation and administration of all lines of insurance; government relations activity, litigation, arbitration, and customer complaint resolution; negotiation and integration of corporate acquisitions; maintenance of corporate books; preparation and submission of required public company filings; and oversight of regulatory examinations and investigations.
Prior to joining LPL Financial Corporation, Ms. Brown was an associate attorney with the law firm of Kelley Drye & Warren in Washington, D.C., specializing in corporate and securities law. Ms. Brown came to Kelley Drye & Warren as a result of a merger between Kelley Drye and the law firm of Lane and Edson, where she practiced law from 1984 to 1988 working in the real estate syndication and mergers and acquisitions departments. Prior to associating with Lane and Edson, she worked for Peabody Lambert & Meyers, concentrating in the securities area with an emphasis on oil and gas ventures.
Ms. Brown is currently serving as a member of FINRA’s National Adjudicatory Council’s Statutory Disqualification Committee and is also a member of FINRA’s Independent Broker/ Dealer and Membership Committees, the SIFMA Private Client Legal Committee, the IRI Government Relations Committee, a Member Representative of the Financial Services Roundtable and Financial Services Roundtable’s Lawyer’s Council, Regulatory Oversight Committee, and Securities Working Group.
She received a Bachelor of Arts degree, cum laude, from Bryn Mawr College, and a Juris Doctorate from the Catholic University of America. She is a member of the Massachusetts and District of Columbia Bars. Ms. Brown is Series 7, 24, 63, and 65 registered and has life, health, and variable insurance licenses.