Thomas Gooley — Managing Director of Service, Trading and Operations at LPL Financial

Mr. Thomas Gooley, also known as Tom, has been Managing Director of Service, Trading and Operations at LPL Financial LLC since June 25, 2015. Mr. Gooley is responsible for leading LPL's service, trading and operations organizations, while mitigating risk, increasing efficiency and continuously improving the client experience. He serves as the Managing Director of Service, Trading and Operations at LPL Financial Holdings Inc. He also is responsible for driving the strategy, governance and execution of the LPL Financial's business process outsourcing activities in India. Mr. Gooley has more than 20 years of experience in the financial services industry. Prior to joining LPL Financial in June 2015, he was senior managing director and chief risk officer for the Retirement and Individual Financial Services division at TIAA-CREF from August 2014 to June 2015. Prior to this, he served as Managing Director and Head of Operations for the Global Wealth and Asset Management divisions of Morgan Stanley. Earlier in his career, he led Equities and Futures Operations for Bank of America Securities after spending 12 years with Goldman Sachs in a variety of leadership roles in Equities Operations. Mr. Gooley is a graduate and instructor of the Securities Industry and Financial Markets Association (SIFMA) Wharton Program. Mr. Gooley holds a B.A. in political economies of industrial societies from the University of California at Berkeley and an M.B.A. from The Wharton School at the University of Pennsylvania.