Cecilia M. Wech
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.
Cecilia Mary Wech, who also goes by Cecilia Mary Denning, Cecilia Denning, Cece Luikens, Cecelia Mary Luikens, Cecilia Mary Luikens, Cecilia Luikens, Cecelia Mary Luikensschrempp, Cecelia Luikensschrempp, was a registered financial professional .
Cecilia is a previously registered financial professional and started their career in finance in 1984. Cecilia had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 10, Series 9 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
December 16, 2013 - December 22, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
February 16, 2006 - December 22, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
February 13, 2004 - February 9, 2006
UBS FINANCIAL SERVICES INC.
August 28, 2001 - November 2, 2001
WELLS FARGO SECURITIES INC.
August 28, 2001 - June 24, 2002
WELLS FARGO SECURITIES, LLC
August 28, 2001 - December 3, 2003
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 21, 2001 - October 31, 2003
WELLS FARGO INVESTMENTS, LLC
January 2, 1995 - June 22, 2001
GLOBAL FINANCIAL GROUP, INC.
December 7, 1994 - January 2, 1995
GLOBAL FINANCIAL GROUP, INC.
January 17, 1989 - December 2, 1994
HAYNE, MILLER FINANCIAL, INC.
November 11, 1988 - January 20, 1989
CRAIG-HALLUM, INC.
February 1, 1988 - December 6, 1988
OBERWEIS SECURITIES, INC.
January 29, 1986 - February 1, 1988
ENGLER-BUDD & COMPANY INC.
August 2, 1985 - February 12, 1986
PRINCETON AMERICAN EQUITIES CORPORATION
May 9, 1985 - August 5, 1985
PRUDENTIAL EQUITY GROUP, LLC
April 18, 1984 - February 7, 1985
MORGAN STANLEY DW 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.
