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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2026-03-04 |
| TX | RA | APPROVED_RES | 2019-07-10 |
| IN | RA | APPROVED | 2014-10-24 |
| OH | RA | APPROVED | 2005-12-19 |
| KY | RA | APPROVED | 2003-09-17 |
Branch Locations
7887 Washington Village Dr Suite 200, Dayton, OH 45459 • United States
3050 Chain Bridge Rd Ste 101, Fairfax, VA 22030-2834 • United States
5000 E Mediterranean Dr Ste A, Sierra Vista, AZ 85635-2433 • United States
408 Blankenbaker Pkwy Suite 100, Louisville, KY 40243-1896 • United States
4104 Charlestown Rd, New Albany, IN 47150 • United States
250 W Main St Ste 2530, Lexington, KY 40507 • United States
5210 E Williams Cir Ste 130, Tucson, AZ 85711 • United States
7875 Montgomery Rd Spc 42, Cincinnati, OH 45236 • United States
Louisville, KY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Louisville | KY | 09/2005 | 03/2020 |
| Ameriprise Financial Services, Llc | Louisville | KY | 03/2020 | Present |
Independent Insurance Brokering; Guardian; 10/25/2013; . Business Ownership; Heick Hester Smith & Associates, LLC; Managing Partner; Consulting; 408 Blankenbaker Parkway, , Louisville, KY, 40243; Not Investment-Related; 02/05/2015; 60 hours per month; 60 during trading hours / Heick Hester Smith Properties, LLC; Administrative; Real Estate - Leases to Advisors of Cardinal Pointe Financial Group, A Private Wealth Advisory Practice of Ameriprise Financial Services, Inc.; 408 Blankenbaker Parkway, , Louisville, KY, 40243; Not Investment-Related; 09/24/2012; 1 to 9 hours per month; 0 during trading hours / John Weldon Smith, Inc.; Practice Management and Administration; Consulting; 15401 Crystal Springs Way, , Louisville, KY, 40245; Not Investment-Related; 04/11/2018; 60 hours per month; 60 during trading hours. Outside Employment; John Weldon Smith Inc; Owner; Manage advisory business; 15401 Crystal Springs Way, , Louisville, KY, 40245; Investment-Related; 02/11/2026; 60 hours per month; 60 during trading hours / Heick Hester Smith & Associates; Owner; Manage advisory business; 408 BLANKENBAKER PARKWAY, , Louisville, KY, 40243; Investment-Related; 02/11/2026; 60 hours per month; 40 to 59 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-07 |
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