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Who's Moving Where In Wealth Management? - Raymond James, LPL, Others

Editorial Staff, April 27, 2020

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The latest senior wealth management executive moves in North America.

Raymond James
Raymond James has brought financial advisor Bill Dendy and his team to its broker/dealer operation in Dallas.

Dendy operates as Elite Financial Management and joins from LPL, where he managed more than $415 million in client assets. Joining him at Raymond James are six team members: operations manager Julie Chapman; client concierges and RJFS registered representatives Kibb King, John Thompson and Todd Pace; client concierge and RJFS relationship manager Eamon Devlin; and RJFS branch associate Madison Montgomery. Already continuing to expand, the firm recently welcomed financial advisor Bruce Lewin from B Riley to the team and RJFS.

Dendy has more than 26 years of professional experience in investments and financial planning in Dallas. He began his financial services career with Shearson Lehman Hutton and later transitioned to Prospera Financial Services. Dendy has an MBA with a concentration in finance from Southern Methodist University and holds the designations of Certified Public Accountant, Certified Financial Planner™ and Chartered Life Underwriter. He also earned his Juris Doctor from SMU.

LPL Financial
LPL Financial, the financial advisory firm and broker-dealer, has appointed Judy Ricketts as executive vice president, operations. She is based at the firm’s Carolinas campus and reports to Dayton Semerjian, LPL chief customer care officer and managing director, service, trading, and operations.

Ricketts is joining LPL from TD Ameritrade, where she was most recently managing director, retail investor services, leading the retail contact center. (TD Ameritrade last year agreed to be acquired by Charles Schwab.) Prior to that role, Ricketts held several leadership positions at TD Ameritrade, including president and managing director, clearing, and managing director, investor services. She is a founding member of the firm’s diversity and inclusion efforts.

Ricketts graduated from the University of Nebraska-Lincoln with a bachelor’s degree in psychology and holds FINRA Series 4, 7, 24, 27, 53, 55 and 63 licenses. She is a board member of Rock The Street, Wall Street and the Women’s Fund of Omaha. She is also vice chair of the board of trustees of the Securities Industry Institute at Wharton.
 




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