Deals & People February 24, 2012

LPL Financial Appoints Executive VP

LPL Financial appointed Mimi Bock as executive vice president of Independent Advisor Services (IAS).   
Reported by

She will be based in San Diego and report directly to Derek Bruton, managing director and IAS national sales manager at LPL Financial.

Bock, with more than 25 years of financial services experience, will be responsible for overseeing the growth and satisfaction of more than 4,500 LPL Financial adviser branch offices, as well as leading the firm’s Business Consulting, Relationship Management, and Education & Consulting teams.

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Prior to joining LPL Financial, Bock was a managing director in the global wealth management division of Morgan Stanley Smith Barney, where she also served as director for the southeast U.S. region. During her time at Morgan Stanley, she also held a variety of leadership positions in equity sales, financial adviser development, client marketing and field management.  Earlier in her career, Bock worked in institutional sales for Furman Selz and as a registered sales assistant for Laidlaw Adams and Peck & Bear Stearns in New York City.

Bock earned a bachelor’s degree in economics and sociology from Denison University in Ohio and is FINRA Series 3, 7, 9, 10, 24, 63 and 66 registered.

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