Tracy E. Calder — Managing Director and Deputy Chief Risk Officer at LPL Financial

Ms. Tracy E. Calder has been Managing Director and Deputy Chief Risk Officer of LPL Financial Holdings Inc. since January 25, 2016. Ms. Calder is responsible for furthering LPL Financial Holdings efforts to foster an environment that identifies and mitigates risk for LPL and clients. She has been Managing Director and Deputy Chief Risk Officer at LPL Financial LLC since January 25, 2016. Ms. Calder served as Managing Director and Chief Compliance Officer of J.P. Morgan Securities LLC from May 2015 to December 2015 and served as its Head of Brokerage and Fiduciary Compliance since August 2013. At J.P. Morgan, She led a compliance program that spanned the institutional and private client broker/dealer and RIA businesses. She served as Senior Vice President at Wells Fargo Advisors from March 2012 to July 2013, where she led the retail compliance program for the broker/dealer. She spent 18 years with UBS Wealth Management Americas in a variety of legal and compliance roles, including as head of legal for the Wealth Management Advisor Group and as Chief Compliance Officer and Senior Deputy General Counsel for UBS Financial Services Inc. She earned a Bachelor of Arts from Fordham University and a Juris Doctor from the University of North Carolina School of Law.