Managing Director, Service, Trading, and Operations
Tom Gooley is the managing director of Service, Trading, and Operations at LPL Financial. In this role, he is responsible for mitigating risk, increasing efficiency, and improving the client experience at LPL. He also is responsible for driving the strategy, governance, and execution of the firm’s business process outsourcing activities in India.
Mr. Gooley is a financial services industry veteran with more than 20 years of experience. Prior to joining LPL in 2015, he was senior managing director and chief risk officer for the Retirement and Individual Financial Services division at TIAA-CREF. Previously, he worked as managing director and head of Operations for the Global Wealth and Asset Management divisions of Morgan Stanley. Earlier in his career, Mr. Gooley 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 holds a Bachelor of Arts in political economies of industrial societies from the University of California at Berkeley and a Master of Business Administration from The Wharton School at the University of Pennsylvania. Mr. Gooley also is a graduate and instructor of the Securities Industry and Financial Markets Association (SIFMA) Wharton Program and a board member of AIESEC United States, Inc. He is FINRA Series 7 and 27 registered.