Executive Vice President, Operations and Principal Operations Officer · LPL Financial LLC
Judith Kohoskie Ricketts
CRD 2758924 · Named on Form ADV at one SEC-registered adviser
At a glance
LPL Financial LLC, an SEC-registered broker-dealer firm based in Fort Mill, SC with $819.1 billion in regulatory assets, lists Judith Kohoskie Ricketts on its Form ADV as Executive Vice President, Operations and Principal Operations Officer, a control person.
Firms and roles
- LPL Financial LLCExecutive Vice President, Operations and Principal Operations OfficerBroker-dealer firm · Fort Mill, SC · $819B in regulatory assets
AtlasMembers
Judith’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
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- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings (9)
- Matthew Jon AudettePresident and Chief Financial Officer, LPL Financial LLC
- Richard C SteinmeierChief Executive Officer and Director, LPL Financial LLC
- Matthew Klaus EnyediGroup Managing Director, Chief Client Officer, LPL Financial LLC
- Gregory GatesGroup Managing Director, Chief Product & Technology Officer, LPL Financial LLC
- Brent Blain SimonichManaging Director, Chief Risk Officer, Head of Business Operations, LPL Financial LLC
4 more people named with Judith on the same filings, with titles and firms. Free in Atlas with a free account.
See all 9 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Judith’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.