As managing director of compliance for LPL Financial, Joseph Tuorto is responsible for leading a comprehensive compliance organization that supports LPL Financial independent advisors and financial institutions. In this role, he ensures that the firm’s financial advisors understand and meet complex and diverse state and federal regulations. Prior to joining the firm in 2004, Mr. Tuorto was chief compliance officer for Raymond James for over 23 years.

Mr. Tuorto served on the FINRA Joint Institute Committee, helping create the program currently being offered through Wharton Business School. He also served as a past board member of the National Society of Compliance Professionals. Mr. Tuorto currently serves on FINRA’s Compliance Resources and Education Committee.

Mr. Tuorto has a pre-law finance degree from the University of South Florida and a Master of Business Administration from the University of Tampa. He is Series 3, 4, 5, 7, 12, 14, 15, 24, 27, and 63 registered.