Team 40

Playbook: Team 40
Toll-Free Phone: (888) 575-4742, (press #2, then #40)
Email: [email protected]
Hours of Operation: 8:00am-6:00pm ET
The Team-Based Solution from LPL Financial
Service360 is a team-based service solution that provides a personalized single point of
contact focusing on the qualities that matter most to advisors:
Accuracy
Consistency
Follow-up
Service360 Features:
 Dedicated service from a small team who takes exclusive ownership of your service needs
 The opportunity to establish a personalized working relationship with your Service360 team members
 A single number to call and a simplified phone menu
 Quicker, more direct processing of operational requests
 A single point of contact from start to finish, including issue resolution and follow-up
Member FINRA/SIPC
Service360 Team 40 – Leadership
Paul Alt and Shawn Thompson take ultimate responsibility for their team’s delivery of outstanding service.
They serve as your primary points of contact in the event a service issue needs to be escalated. In addition,
LPL Financial welcomes feedback on how Service360 can better service your firm and support you with
achieving your goals.
Paul Alt
Team Manager
Paul started his financial services career with LPL Financial in 2004, hired initially with UVEST Financial. Prior to managing RIA
Service360, he managed departments within Direct Operations, Money Desk Receipts and Cash Management. These various roles
have enabled Paul to develop valuable knowledge and contacts throughout LPL, while at the same time strengthening his commitment
to providing a solid customer service experience. Paul is from Charlotte and graduated from University of North Carolina at
Greensboro, where he was a NCAA Division I scholarship athlete for the Spartan’s soccer team.
Shawn Thompson
Team Supervisor
Originally from Memphis, TN, Shawn graduated from the University of Memphis with a business degree and later
pursued his financial planning certification from Queens College in Charlotte. He previously worked for The Vanguard
Group with High Net Worth clients and joined LPL in 2007 as a Service Center Representative. He was an original
member of the Service360 pilot team. Shawn is a Professional Boxing judge and enjoys travelling and seeing new sites.
Toll-Free Phone: (888) 575-4742, (press #2, then #40)
Email: [email protected]
Hours of Operation: 8:00am-6:00pm ET
Service360 Team 40
Rickey Rollins
Team Representative
Originally from New Jersey, Rickey relocated to South Carolina. He received his Bachelor of Science Degree in Business Administration
with a concentration in marketing from Winthrop University. Rickey maintained a career in retail banking for five years at First
Citizens Bank and Trust and Founders Federal Credit Union. Rickey began his career at LPL in the Money Desk Operations department
prior to advancing to the General Service Center.
Aaron Schmalfeldt
Team Representative
Aaron relocated from San Diego to Charlotte. He joined LPL Financial with the General Service Center, bringing knowledge from his time
with Morgan Stanley/Smith Barney. His financial, operational knowledge, and exemplary customer service skills have allowed him to
advance with LPL by joining RIA Service360 Team.
Rochelle Farwell
Team Representative
Rochelle is a graduate of East Carolina University with a BS degree in Criminal Justice. She is currently completing her MBA.
Rochelle has 15 years of combined experience in Mortgage (Default Servicing), Commercial and Private Banking. Prior to LPL,
worked in the Office of the President for Legacy Asset Servicing (Bank of America) as a Customer Relationship Manager.
Labrey Burris
Team Representative
Labrey is a native of Gastonia, North Carolina. Prior to joining LPL, He worked nearly a decade in the financial service industry wit h
Wells Fargo Advisors. In addition, he has several years of experience in the broadcast communications industry.
Toll-Free Phone: (888) 575-4742, (press #2, then #40)
Email: [email protected]
Hours of Operation: 8:00am-6:00pm ET
Service360 Team 40
Marie Holder
Team Representative
Marie began her career in the Financial Industry with IJL securities in the Commodities Trading Desk. Marie joined Wachovia/First
Union as a Customer Service Representative and was promoted to an OSJ coordinator. Prior to joining LPL, Marie worked with
DLJ/Direct in several positions including Online New Accounts Manager and as a Select Client Team Representative. Prior to joining
RIA Service360 Team 40, Marie spent a year supporting new advisors joining LPL as a member of the Transition’s Repapering team.
Dara Stewart
Team Representative
.
Originally a native of Buffalo, relocated to North Carolina to complete Bachelors of Science in Finance at North Carolina Agricultural
and Technical State University. Before joining LPL, worked at Wells Fargo for several years in an internal and external brokerage
support role prior to transitioning to the mortgage and refinance industry.
Sharon Ricketts
Team Representative
Sharon is originally from Brooklyn New York. Sharon relocated to Charlotte N.C to work with Harris Direct/ E-trade as an account
transfers specialist . Sharon joined the Institutional Service Platform and support the account transfer process with UVEST/LPL.
Sharon joined the Service Team becoming part of the IAS General Service Center. With her wealth of knowledge and strong service
commitment, Sharon was promoted to RIA Service360.
John (J.R.) Mahoney
Team Representative
John (J.R). is originally from West Virginia, and moved to Charlotte in 2005. Prior to coming to LPL, John worked 10 years for Navy
Federal Credit Unions retirement services division. John started his LPL career working in the client services division before joining
Service 360 team 40.
Toll-Free Phone: (888) 575-4742, (press #2, then #40)
Email: [email protected]
Hours of Operation: 8:00am-6:00pm ET
Service360
Service360 team members have been trained to be the single point of contact for the following areas:
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Advisory
Brokerage
Direct Business
Retirements
New Accounts
The following areas will continue to be managed outside of your Service360 Team and can be
reached directly or via the Service360 phone menu provided on the next slide:
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Annuity Order Entry
Commissions
Compliance and Registrations
Conference Services
Continuing Education
Employer Sponsored Retirement Plans
Financial Planning
Marketing
Sales and Insurance Group
Technical Support
Trading
Toll-Free Phone: (888) 575-4742, (press #2, then #40)
Email: [email protected]
Hours of Operation: 8:00am-6:00pm ET
Service360 Contact Information
Service360 Telephone Menu
(888) 575-4742
2 – Service360
Team
1 - Trading
6 – Annuity
Order Entry
3 –Technical
Support
4 – Compliance
& Registration
5 – Commissions
6 – Sales &
Insurance Group
7- Employer
Plan Services
8 – Marketing
9 – Alternative
Investments
Select Team
Departments managed outside of your Service360 team
that can be contacted directly:
New
Accounts
 Conference Services: (800) 877-7210, ext. 6800
Advisory
Retirements
Your
Service360
Team 40
Direct
Business
 Continuing Education: (855) 575-2323
 Financial Planning: (800) 877-7210, ext. 6600
Brokerage
Toll-Free Phone: (888) 575-4742, (press #2, then #40)
Email: [email protected]
Hours of Operation: 8:00am-6:00pm ET