New Chief Compliance Officer Named
(MEMPHIS, TN / August 3, 2015) - Wunderlich, a leading full-service investment firm headquartered in Memphis, today announced that James Ritt has been named Chief Compliance Officer and General Counsel of Wunderlich Securities. Ritt’s 30-year securities industry career has included various legal and compliance leadership roles with several regional investment firms. From 1998 to 2012, he was General Counsel for Memphis-based Morgan Keegan & Company and more recently served as General Counsel and Chief Legal Officer for Birmingham-based Sterne Agee Group from 2012 to 2014.
“With his extensive experience and knowledge of our industry’s regulatory environment, Jim will provide invaluable insight to our executive management team,” said Gary Wunderlich, CEO of Wunderlich Securities. “We are very pleased to welcome him to the firm and look forward to his leadership as Wunderlich continues to grow our advisor base and capital markets businesses.”
Ritt joined the former Morgan Keegan & Company as General Counsel in 1998 following six years as Director of Legal and Compliance with Rauscher Pierce Refsnes, a regional investment firm based in Dallas, Texas. During his fourteen year tenure with Morgan Keegan, Ritt provided legal and compliance oversight and was responsible for managing the in-house professional legal and support staff. He also served simultaneously as Chief Compliance Officer for seven years. Ritt was involved in several acquisitions of broker/dealer firms, as well as the firm’s transition from a public company to a subsidiary of Regions Financial and later sale to Raymond James. At Sterne Agee, Ritt handled legal affairs for three subsidiary broker/dealer units, a registered investment advisor, trust company and mortgage company. Most recently, Ritt was affiliated with Oyster Consulting, LLC.
Ritt received a Juris Doctor degree from The John Marshall Law School. He also earned an undergraduate degree from Providence College.
Established in 1996, Wunderlich provides individuals, corporations and institutional clients with wealth management, equity research and investment banking, and fixed income sales and trading. Wunderlich, headquartered in Memphis, Tennessee, has more than 30 offices in 18 states and over 500 associated professionals.
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