Gregory P. Ricks

AE WEALTH MANAGEMENT

Gulfport, MS 39503

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CRD#: 1060841

Professional summary

Gregory Paul Ricks, who also goes by Greg Ricks, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Gulfport, Mississippi.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Gregory has worked at 10 firms and has passed the Series 65, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Greg Ricks

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Paul Ricks's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 6, 2019 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 8930 Lorraine Rd Ste C, Gulfport, MS 39503Office #2: 4030 Lonesome Rd Ste A, Mandeville, LA 70448Office #3: 10235 Jefferson Hwy Bldg 4, Baton Rouge, LA 70809Office #4: 2800 Veterans Memorial Blvd Suite 170, Metairie, LA 70002

RIA

CRD#: 282580

Gulfport, MS

Past

April 17, 2019 - May 8, 2019

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Metairie, LA

Past

October 31, 2017 - April 23, 2019

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

METAIRIE, LA

Past

June 4, 2012 - November 29, 2017

GREGORY RICKS LLC DBA GREGORY RICKS & ASSOCIATES

RIA

CRD#: 159495

METAIRIE, LA

Past

July 24, 2002 - July 30, 2003

W. H. COLSON SECURITIES, INC.

CRD#: 117789

GREENVILLE, NC

Past

January 9, 2002 - July 23, 2002

NORTHEAST SECURITIES, LLC

CRD#: 25996

MITCHELFIELD, NY

Past

January 6, 1997 - December 31, 2001

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

June 1, 1996 - December 31, 1996

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

February 2, 1995 - June 1, 1996

NORTH AMERICAN MANAGEMENT, INC.

CRD#: 624

SIOUX FALLS, SD

Past

May 9, 1991 - December 31, 1994

NORTH AMERICAN MANAGEMENT, INC.

CRD#: 624

SIOUX FALLS, SD

Past

January 24, 1984 - May 9, 1991

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(7/8/2019)

IAR

Mississippi
(8/28/2019)

IAR

Texas
(5/6/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/19/2011

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 1/23/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/23/1990

Investment Company Products/Variable Contracts Principal Examination

Current Firm

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

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Contact information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Mailing Address

Phone number

(866) 363-9595

Established

Firm type

Fiscal year end

# of Employees

602

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (10/1/2025)

FORM ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	111,059
AUM (Assets Under Management)	$ 37,525,706,084

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Gregory P. Ricks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Paul Ricks's CRS (Customer Relationship Summary).

Certified licenses

Experience

J. W. COLE ADVISORS, INC.

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

GREGORY RICKS LLC DBA GREGORY RICKS & ASSOCIATES

W. H. COLSON SECURITIES, INC.

NORTHEAST SECURITIES, LLC

INVESTORS CAPITAL CORP.

WALNUT STREET SECURITIES, INC.

NORTH AMERICAN MANAGEMENT, INC.

NORTH AMERICAN MANAGEMENT, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/2011

Series 6

Date: 1/23/1984

Series 26

Date: 4/23/1990

Current Firm

AE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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