Matt Applebaum

Senior Vice President, Associate General Counsel and Head of Regulatory Relations, LPL Financial

Matt Applebaum is a Senior Vice President and Head of Regulatory Relations at LPL Financial. Matt leads the team that manages regulatory examinations and inquiries from the SEC, FINRA, state regulatory agencies and others, and coordinates the Firm’s regulatory interactions. Prior to joining LPL in 2016, Matt practiced in the financial services groups of law firms in Boston, with a focus on securities enforcement, regulatory advice, and customer securities arbitrations.

Matt attended the University of Pennsylvania for his undergraduate studies and law school, and clerked for the Chief Justice of the Delaware Supreme Court.