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Stephanie Ricketts, portrait

Stephanie Ricketts

Senior Relationship Manager & Director of Client Services at David Vaughan Investments in Peoria, IL

Investment adviser registrationUpdated

Stephanie Ricketts is Senior Relationship Manager & Director of Client Services of David Vaughan Investments, LLC, an investment adviser managing $5.33B, and works from its Peoria, IL office. Stephanie Ricketts has been registered as an investment adviser representative through David Vaughan Investments since 6 November 2007, has 21 years in the industry across 3 firms and has passed the Series 6, Series 63, Series 7 and Series 66.

21
Years in industry
18
Years at firm
3
Adviser firms
2
States registered

From the IAPD record, checked 22 October 2026SEC record

Career

Stephanie Ricketts has been Senior Relationship Manager & Director of Client Services of David Vaughan Investments since March 2025, is a control person of the firm and directly owns under 5% of it. Stephanie Ricketts holds a B.S. in International Business from Bradley University and an M.B.A. from Bradley University.

David Vaughan Investments, LLC is a Peoria, IL firm with $5.33B under management, 1,240 clients and 48 advisers across 2 offices, as of its July 2026 filing.

Stephanie Ricketts is Managing Director, Relationship Management & Client Services of David Vaughan Investments. She joined DVI in 2007 as a Relationship Manager and advanced to Senior Relationship Manager, Director of Client Services, and Managing Director. She was named a Partner in 2022.

Stephanie Ricketts’ longest registration is the current one, 18 years at David Vaughan Investments since 2007. Before joining David Vaughan Investments in 2007, Stephanie Ricketts was registered through J. P. Morgan Securities Inc. and JPMorgan Securities Inc.

  1. David Vaughan Investments, LLCCurrent
    – present · 18 years
    Peoria, IL · Adviser representative · Firm CRD 105990
  2. J. P. Morgan Securities Inc.
    – · 1 year
    Peoria, IL · Adviser representative · Firm CRD 18718
  3. JPMorgan Securities Inc
    – · 1 year
    Peoria, IL · Adviser representative · Firm CRD 16999

Credentials and registrations

Professional designations

Listed by David Vaughan Investments

  • CFP®

Investment adviser representative registrations

Stephanie Ricketts is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from November 2007; the most recent is Texas, in April 2024.

  • IllinoisSince 6 November 2007
  • TexasResidentSince 16 April 2024

Examinations

Series 6628 April 2005
Name
Uniform Combined State Law Examination
Series 78 March 2005
Name
General Securities Representative Examination
Series 6317 September 1999
Name
Uniform Securities Agent State Law Examination
Series 630 August 1999
Name
Investment Company Products/Variable Contracts Representative Examination

Key facts

Full name
Stephanie Anne Ricketts
CRD
3249842
Firm
David Vaughan Investments · CRD 105990
Role
Senior Relationship Manager & Director of Client Services
Office
5823 N FOREST PARK DRIVE, Peoria, IL 61614-3559
Registration
Investment adviser registration
In the industry since
May 2005
Disciplinary history
Not yet shown here · SEC record
Firm bio
dviinc.com

Common questions

Where does Stephanie Ricketts work?

Stephanie Ricketts has been Senior Relationship Manager & Director of Client Services of David Vaughan Investments, LLC since March 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 20 July 2026

Is Stephanie Ricketts a financial advisor?

Yes. Stephanie Ricketts has a current investment-adviser registration in Illinois and Texas, through David Vaughan Investments since November 2007.

Source: IAPD individual record, checked 22 October 2026

How many years of experience does Stephanie Ricketts have?

Stephanie Ricketts has 21 years in the financial industry, since May 2005, across 3 adviser firms.

Source: IAPD individual record, checked 22 October 2026

What exams has Stephanie Ricketts passed?

Stephanie Ricketts has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 66. The earliest, the Series 6, was passed in August 1999.

Source: IAPD individual record, checked 22 October 2026

Where did Stephanie Ricketts work before David Vaughan Investments?

Before David Vaughan Investments, Stephanie Ricketts was registered through J. P. Morgan Securities Inc., September 2006 to October 2007; JPMorgan Securities Inc, April 2005 to September 2006.

Source: IAPD individual record, checked 22 October 2026

Where is Stephanie Ricketts based?

Stephanie Ricketts’ registered office is in Peoria, IL.

Source: IAPD individual record, checked 22 October 2026

Is Stephanie Ricketts registered with FINRA?

No. Stephanie Ricketts has no current broker registration.

Source: IAPD individual record, checked 22 October 2026

Is Stephanie Ricketts a CFP?

David Vaughan Investments lists Stephanie Ricketts with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.

Source: Stephanie Ricketts biography, dviinc.com

How can I verify Stephanie Ricketts’ record?

Search CRD 3249842 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephanie Ricketts’ full registration record.

Source: IAPD individual record, checked 22 October 2026

Leadership at David Vaughan Investments

Sources

  1. IAPD individual record, CRD 3249842, checked 22 October 2026. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of David Vaughan Investments, LLC, filed 20 July 2026. Title, control and ownership bands.
  3. David Vaughan Investments team page. Biography, education, credentials, awards and the portrait, reproduced for identification.
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