Broker Check
Mimi Bock

Mimi Bock


Mimi has over 30 years of experience serving financial advisors and their staff, and has been a highly effective leader for many years. She has overseen numerous functional areas including business consulting, compliance, client insights, engagement, marketing, learning and development, relationship management, risk, strategy, sales, service and technology.

She most recently served as Executive Vice President, National Sales & Consulting at LPL Financial. Prior to joining LPL, Mimi held various positions of increasing responsibilities with Morgan Stanley, culminating in being named Managing Director of Global Wealth Management Marketing, followed by the Managing and Regional Director roles for the firm’s Southeast Region out of Charlotte, North Carolina.

Ms. Bock proudly led the women financial advisor programs at both Morgan Stanley and LPL Financial. She also served as an Executive Member for the Securities Industries & Financial Markets Association (SIFMA) Sales & Marketing Committee while at Morgan Stanley. Ms. Bock earned a B.A. in economics and sociology from Denison University and holds Series 3, 7, 9, 10, 24, 63 and 66 securities registrations.