Shauna Blake

Head of Supervision @ LPL Financial

About

With over 20 years in Financial Services, I’ve built deep expertise in Compliance, Risk Management, and Supervision. Throughout my career, I’ve led diverse teams and driven initiatives that strengthen regulatory integrity and operational excellence. Today, I lead the Supervision function at LPL Financial, where I focus on fostering a culture of accountability, resilience, and innovation to support advisors and protect investors.

Country

United States

City

Fort Mill

Industry

Financial Services

Skill

Wealth Management, Team Leadership, Strategy Execution, Cultural Transformation, Networking, Customer Experience, Project Plans, Series 24, Series 7, Series 9, Series 10, Series 63, Series 3, Strategic Planning, Chief of staff, Cross-functional Team Leadership

Experience

Head of Supervision

LPL Financial

2023-5 - Present · 3 yrs 5 mos

Fort Mill, South Carolina, United States

Lead a high-performing team of approximately 500 supervisory professionals responsible for overseeing a sales network of ~30,000 LPL advisors, programs, and OSJs. Direct supervision spans a broad spectrum of activities, including brokerage and advisory services, complex product distribution (such as annuities, structured products, and alternative investments), marketing initiatives, outside business activities, advisor onboarding, and comprehensive communications—all with a focus on risk mitigation, regulatory compliance, and operational excellence.

Head of Marketing Review and Client Experience

LPL Financial

2020-1 - 2023-5 · 3 yrs 5 mos

Fort Mill, South Carolina, United States

Head of Marketing Review and Client Experience Led a high-performing team of 50 professionals responsible for reviewing advisor-generated marketing materials. Successfully implemented a cutting-edge, in-house developed marketing workflow tool that incorporated straight-through processing and AI-powered rules to significantly reduce review cycle times and enhance efficiency.