Carl William Heick

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2026-02-27
OH	RA	APPROVED	2016-04-07
TX	RA	APPROVED_RES	2006-10-03
KY	RA	APPROVED	2004-06-16

FL RA
APPROVED

Since 2026-02-27
OH RA
APPROVED

Since 2016-04-07
TX RA
APPROVED_RES

Since 2006-10-03
KY RA
APPROVED

Since 2004-06-16

Branch Locations

Goodland, FL • United States

408 Blankenbaker Pkwy Suite 100, Louisville, KY 40243-1896 • United States

7310 Turfway Road Ste 550, Florence, KY 41042 • United States

Louisville, KY • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Louisville	KY	09/2005	03/2020
Ameriprise Financial Services, Llc	Louisville	KY	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Louisville, KY
03/2020 → Present

Ameriprise Financial Services, Llc

Louisville, KY

Other Businesses

Real Estate Ownership; Commercial; 408 Blankenbaker Parkway Suite 100 Louisville, KY 40243, ,; Not Investment-Related; 01/01/2000. Independent Insurance Brokering; Guardian Life Insurance Co; 10/30/2013; Disability Income. Business Ownership; Heick Hester Smith & Associates, LLC; Partner, advisor; Consulting; 408 Blankenbaker Parkway, Ste 100 Louisville, KY 40243, ,; Not Investment-Related; 02/05/2015; 40 to 59 hours per month; 40 to 59 during trading hours / Carl William Heick III, Inc.; Practice Management & Administration; Practice management & administration; 2415 Crystal Springs Place Louisville, KY 40245, ,; Not Investment-Related; 04/11/2018; 60 hours per month; 60 during trading hours / Heick Hester Smith Properties, LLC; Member/owner; Real Estate-leases property to Cardinal Pointe Financial Group, a financial advisory practice of Ameriprise Financial Services, Inc.; 408 Blankenbaker Parkway, , Louisville, KY, 40243; Investment-Related; 01/01/1994; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Blankenbaker Professional Park Condo Council of Co-Owners; President; 408 Blankenbaker Pkwy, Suite 100 Louisville, KY 40243, ,; Not Investment-Related; 01/01/2002; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; Carl William Heick III Inc.; President - President-entity formed to manage Ameriprise practice; ; 2415 Crystal Springs Place, , Louisville, KY, 40245; Investment-Related; 06/27/2017; 60 hours per month; 60 during trading hours. Other Business Activities; Triple M investment Club; Investment Club; None, ,; Investment-Related; 04/29/2012; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-05-10
S63	Uniform Securities Agent State Law Examination	1983-11-29

S65 Uniform Investment Adviser Law Examination

2004-05-10
S63 Uniform Securities Agent State Law Examination

1983-11-29

Other Names

Carl William Iii Heick
Carl Heick

View on SEC IAPD