Role at LPL Financial
- Title on Schedule A
- Executive Vice President, Operations and Principal Operations Officer
- Control
- Judith Ricketts is a control person of LPL Financial.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Judith Ricketts has held the filed role since November 2020.
The firm
Form ADV filed 21 September 2026
Career on record
- Passed Series 52TO, Series 57TO and Series 99TO · 2023
- Passed SIE · 2018
- Passed Series 27 · 2008
- Passed Series 55 and Series 53 · 2005
- Passed Series 4 · 2000
- Passed Series 7, Series 63 and Series 24 · 1999
Registrations and exams
Broker registration; no current adviser registration. Judith Ricketts has passed 11 qualifying exams.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 28 July 1999 |
| Series 27 | Financial and Operations Principal Examination | 22 June 2008 |
| Series 53 | Municipal Securities Principal Examination | 20 April 2005 |
| Series 4 | Registered Options Principal Examination | 21 November 2000 |
| Series 24 | General Securities Principal Examination | 28 September 1999 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 55 | Limited Representative-Equity Trader Exam | 28 February 2005 |
| Series 7 | General Securities Representative Examination | 1 July 1999 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Financial and Operations Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Municipal Securities Representative Examination
- Name
- Securities Trader Exam
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Representative Examination
Individual record
- Full name
- Judith Kohoskie Ricketts
- CRD
- 2758924
- Registration status
- Broker registration; no current adviser registration
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
Common questions
Where does Judith Ricketts work?
Judith Ricketts has been Executive Vice President, Operations and Principal Operations Officer of LPL Financial LLC since November 2020, and is a control person of the firm.
Does Judith Ricketts have a current investment-adviser registration?
Judith Ricketts has a current broker registration and no current investment-adviser registration, as of 17 October 2026.
What exams has Judith Ricketts passed?
Judith Ricketts has passed 11 licensing exams: the Series 7, Series 63, Series 24, Series 4, Series 55, Series 53, Series 27, SIE, Series 52TO, Series 57TO and Series 99TO. The earliest, the Series 7, was passed in July 1999.
Leadership at LPL Financial
- Richard C SteinmeierChief Executive Officer and Director
- Matthew Jon AudettePresident and Chief Financial Officer
- James McHaleExecutive Vice President, Chief Compliance Officer
- Matthew Klaus EnyediGroup Managing Director, Chief Client Officer
- Gregory GatesGroup Managing Director, Chief Product & Technology Officer
- Aneri JambusariaGroup Managing Director, Chief Wealth Officer
- Steven Thomas MalfitanoSVP, Finance Capital Management and Principal Financial Officer
- Matthew Edwin MorningstarGroup Managing Director, Chief Legal Officer
- Brent Blain SimonichManaging Director, Chief Risk Officer, Head of Business Operations