Ken Fasone served as an Invest in Others Board Member from June 2018 through June 2019.
As an Executive Vice President at LPL Financial in the Compliance, Legal, and Risk organization, Ken Fasone has recently taken over responsibilities for Operations, Technology and Digital Compliance. Mr. Fasone’s responsibilities include the oversight of the operations, trading and technology programs to insure that compliance with industry regulations and best practices. Prior to assuming this role on September 1, 2018 Mr. Fasone served as the Head of Supervision for LPL. Mr. Fasone has more than 30 years of experience in the financial services industry including branch supervision, compliance technology and business risk management. Prior to joining LPL in June 2014, he was an Executive Director in Morgan Stanley’s Wealth Management Information Security Risk and Control group, where he was responsible for executing MS Wealth Management’s Information Security Risk and Business Continuity programs.
In earlier roles, Mr. Fasone served as a senior Compliance officer responsible for the development and execution of various technology platforms including supervision, surveillance, email and social media. He began his career as a supervisor in a large full service retail branch office.
Mr. Fasone earned his Bachelor of Science degree in Business Management from the State University of New York at Binghamton and has been a financial service professional for his entire career.
Ken also sits on the board of Invest in Others, an organization that recognizes and honors advisors who give back in their community
