Role at Connor Clark & Lunn Investment Management
- Title on Schedule A
- SN. Vice President,co-Head
- Control
- John Ricketts is not a control person of Connor Clark & Lunn Investment Management.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- John Ricketts has held the filed role since March 2022.
The firm
Form ADV filed 26 August 2026
Career on record
- Passed Series 63 · 2022
- Passed SIE · 2018
- Passed Series 66 · 2005
- Sws Financial Services– · under a yearWorthington, OH · Adviser representative · Firm CRD 17587
- Passed Series 24 · 2002
- Passed Series 7 · 1988
- Passed Series 6 · 1987
Registrations and exams
Broker registration; no current adviser registration. John Ricketts has passed 6 qualifying exams.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 9 February 2022 |
| Series 66 | Uniform Combined State Law Examination | 2 September 2005 |
| Series 24 | General Securities Principal Examination | 12 August 2002 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 21 May 1988 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 15 April 1987 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Individual record
- Full name
- John Wyatt Ricketts
- CRD
- 1665312
- Registration status
- Broker registration; no current adviser registration
- Firm bio
- cclfg.cclgroup.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
John Ricketts co-leads CC&L Financial Group’s U.S. institutional sales team. The firm says he received a bachelor’s degree from The Ohio State University and completed coursework for a master’s degree in mathematics at Fairfield University. Official firm biography
Education
- Bachelor of Science, The Ohio State UniversityOfficial firm biography
- Completed coursework for a Master of Science in Mathematics, Fairfield UniversityOfficial firm biography
Common questions
Where does John Ricketts work?
John Ricketts has been SN. Vice President,co-Head of Connor Clark & Lunn Investment Management LTD since March 2022.
Does John Ricketts have a current investment-adviser registration?
John Ricketts has a current broker registration and no current investment-adviser registration, as of 17 October 2026.
What exams has John Ricketts passed?
John Ricketts has passed 6 licensing exams: the Series 6, Series 7, Series 24, Series 66, SIE and Series 63. The earliest, the Series 6, was passed in April 1987.
Where was John Ricketts previously registered as an investment adviser?
John Ricketts has past investment-adviser registrations through Sws Financial Services, February 2005 to July 2005, across 1 firm.
Leadership at Connor Clark & Lunn Investment Management
- Martin GerberDirector & President
- Eric HasenauerSN. Vice President,co-Head
- Steven HuangDirector & Vice President
- Timothy MarzecVice President
- Stephen ReynoldsVice President
- Gary SimonetteVice President
- John StoddartDirector & Vice President
- Derrick CroweChief Compliance Officer
- Jennifer DrakeDirector
- Calum MackenzieDirector
- Michael McPhillipsDirector
- Patrick RobitailleCorporate Secretary
- Taylor SutterDirector
- Michael WalshDirector
- Andrew ZimcikDirector