Rick P. Cecchetti
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.
Rick Paul Cecchetti, CFP®, ChFC® was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1991. Rick had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2010
Experience
December 1, 2017 - April 10, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
December 1, 2017 - April 10, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
November 12, 2009 - December 8, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 12, 2009 - December 8, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 29, 2006 - December 1, 2009
WOODBURY FINANCIAL SERVICES, INC.
April 1, 2004 - December 1, 2009
WOODBURY FINANCIAL SERVICES, INC.
March 13, 2002 - April 8, 2004
1717 CAPITAL MANAGEMENT COMPANY
January 3, 2002 - April 8, 2004
1717 CAPITAL MANAGEMENT COMPANY
September 19, 2000 - December 31, 2001
IAC SECURITIES, INC.
March 26, 1996 - November 12, 1998
SUNAMERICA SECURITIES, INC.
February 13, 1995 - February 24, 1996
INVESTORS CAPITAL CORP.
July 6, 1993 - December 31, 1994
NEW ENGLAND SECURITIES
September 24, 1992 - June 24, 1993
MML INVESTORS SERVICES, LLC
November 6, 1991 - October 1, 1992
GUARDIAN INVESTOR SERVICES LLC
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.
