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Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2022-07-22
KY RA APPROVED 2022-07-22
TX RA APPROVED 2022-07-22
  • IN RA
    APPROVED
    Since 2022-07-22
  • KY RA
    APPROVED
    Since 2022-07-22
  • TX RA
    APPROVED
    Since 2022-07-22

Branch Locations

425 Bank St., New Albany, IN 47150-3407 • United States

Louisville, KY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ricke & Associates New Albany IN 06/1997 07/2022
Mml Investors Services New Albany IN 09/2009 07/2022
Ameriprise Financial Services, Llc New Albany IN 07/2022 Present
  • 06/1997 → 07/2022
    Ricke & Associates
    New Albany, IN
  • 09/2009 → 07/2022
    Mml Investors Services
    New Albany, IN
  • 07/2022 → Present
    New Albany, IN
Previous Registrations
Other Businesses

Real Estate Ownership; This company has no holdings.; 1625 Trevilian Way, , Louisville, KY, 40205; Not Investment-Related; 01/01/2009. Independent Insurance Brokering; MassMutual; 07/22/2022; Group. Business Ownership; 3 R Wealth, LLC; Manage business, office, employees,; Financial Services; 425 Bank Street, , New Albany, IN, 47150; Investment-Related; 07/08/2022; 60 hours per month; 60 during trading hours / Refined Spaces LLC; Owner; Real Estate; 1625 Trevilian Way, , Louisville, KY, 40205; Not Investment-Related; 09/24/2012; 1 to 9 hours per month; 0 during trading hours. Board of Directors; Community Foundation of Southern Indiana; Marketing Committee Member; 4108 Charlestown Road, , New Albany, IN, 47150; Not Investment-Related; 05/02/2022; 1 to 9 hours per month; 0 during trading hours. Outside Employment; 3 R Wealth, LLC; Member - Administration, Operations, Financial Advisor; Sell and service Ameriprise solutions and employ staff to serve clients.; 425 Bank Street, , New Albany, IN, 47150; Investment-Related; 07/08/2022; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-05-25
  • S66 Uniform Combined State Law Examination
    2021-05-25
Other Names
  • Emily Ricke
  • Emily A Heine
  • Emily Ann Ricke Heine
  • Emily A Ricke Heine
  • Emily Heine
  • Emily Ricke Heine
  • Emily Ann Ricke
  • Emily A Ricke
  • Emily Ricke Andrada
  • Emily Ann Heine

View on SEC IAPD

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