Judy Ricketts, who most recently ran the retail contact center at TD Ameritrade, has joined LPL Financial as executive vice president of operations.
Ricketts will lead the firm’s strategy to “optimize the effectiveness of LPL’s operations organization,” the company said in a release.
Ricketts, who had been with TD Ameritrade for 24 years, held several senior positions there, including president of its clearing business and managing director of investor services. She is a member of the family that founded the firm in 1971.
[More: IBDs face hard times in 2020]
Carson has fully acquired another firm in Florida, while Simon Quick Advisors finds its third perfect-fit partner in a Las Vegas-based boutique.
FINRA has been focused on firms and their use of social media for several years.
The model has surged in popularity thanks to its fiduciary appeal, but the show is far from over for no-fee and commission-based arrangements.
Asset managers filing to launch dual share-class mutual funds, creating an ETF sleeve for existing strategies, could end up eroding key benefits of the wrapper.
The two wealth tech firms are continuing to expand their reach among firms as they support advisor productivity and client data protection.
How intelliflo aims to solve advisors' top tech headaches—without sacrificing the personal touch clients crave
From direct lending to asset-based finance to commercial real estate debt.
