LPL Financial Hires Judy Ricketts to Lead Operations

Last Edited by: LPL Financial

Last Updated: April 15, 2020

LPL Financial Hires Judy Ricketts to Lead Operations

CHARLOTTE, N.C. – April 15, 2020 – LPL Financial LLC, a leading retail investment advisory firm (RIA) and independent broker-dealer, today announced that Judy Ricketts has joined the firm as executive vice president, Operations, effective April 13. In this role, Ricketts leads the firm’s strategy to optimize the effectiveness of the firm’s Operations organization to deliver a differentiated service experience to LPL advisors and institutions and their clients. She is based at the firm’s Carolinas campus and reports to Dayton Semerjian, LPL chief customer care officer and managing director, Service, Trading, and Operations.

“Judy is an industry leader with a proven record of driving results among complex enterprise-level initiatives. She has experience implementing advanced technology into business operations, while placing a high value on the role employees play in the overall client experience,” Semerjian said. “Sharing our passion for putting clients first as well as a commitment to continuous improvement, we are excited to welcome Judy to the LPL family and we look forward to the contributions she will make in this critical role.”

Ricketts joins LPL from TD Ameritrade, where she was most recently managing director, Retail Investor Services, leading the retail contact center. Prior to that role, she held several leadership positions at TD Ameritrade, including President and Managing Director, Clearing, and Managing Director, Investor Services. She is a founding member of the firm’s diversity and inclusion efforts.

“I'm immensely honored and excited to be joining the LPL team, which is clearly focused on its mission to support advisors. Our industry is at a critical pivot point, and I look forward to being a part of a leadership team and an Operations group that is positioned to revolutionize how we do business in support of financial professionals and their clients,” Ricketts said.

Ricketts graduated from the University of Nebraska-Lincoln with a bachelor’s degree in psychology and holds FINRA Series 4, 7, 24, 27, 53, 55 and 63 licenses. She is a board member of Rock The Street, Wall Street and the Women’s Fund of Omaha. She is also vice chair of the Board of Trustees of the Securities Industry Institute at Wharton. A mother of three, she enjoys all things baseball—from watching her children play competitively to going to major league games.


About LPL Financial

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker-dealer**. We serve independent financial advisors, professionals and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions.

**Based on total revenues, Financial Planning magazine June 1996-2019