Alex McCoy

Senior Vice President, LPL Financial

Alex McCoy is a Senior Vice President in LPL’s Risk and Compliance department. In this role, Alex is responsible for an array of broker/dealer oversight activities including; policies, regulation change, firm element education, sales practices, non-traded product compliance and conflicts of interests.

Alex has served in various leadership capacities in financial services supporting compliance, supervision, and back office activities. Prior to joining LPL, Alex served as a Compliance Director for a Fortune 100 organization tasked with leading efforts for the regulatory compliance program and serving as both the Firm’s MSRB and Registered Options Principal.

Alex received his B.S. from the University of Central Florida. He is a CERTIFIED FINANCIAL PLANNER and currently holds the Series 7, 63, 65, 24, 27, 4 and 53 registrations.