Nicholas J. Hoetmer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicholas John Hoetmer was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1983. Nicholas had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2016 - March 20, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
April 20, 2016 - March 20, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
October 1, 2012 - March 23, 2016
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 23, 2016
J.P. MORGAN SECURITIES LLC
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 22, 1999 - July 6, 2005
BANC ONE SECURITIES CORPORATION
February 1, 1999 - July 6, 2005
BANC ONE SECURITIES CORPORATION
March 25, 1996 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
August 10, 1993 - March 14, 1996
ESSEX NATIONAL SECURITIES, LLC
July 26, 1991 - December 31, 1992
KFS BD, INC.
July 7, 1989 - October 31, 1989
NETWORK 1 FINANCIAL SECURITIES INC.
February 14, 1989 - April 11, 1989
AMERIMUTUAL CORPORATION
November 9, 1988 - January 25, 1989
ARIEL EQUITIES, INC.
October 2, 1987 - October 31, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
May 19, 1987 - October 7, 1987
LOWRY FINANCIAL SERVICES CORPORATION
November 12, 1985 - March 30, 1987
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
May 25, 1983 - October 15, 1985
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
