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Christopher M. Ricketts

RICKETTS FINANCIAL
Louisville, KY 40207
Some features on this profile are disabled
CRD#: 5775185
CR

Professional summary

Christopher Mccauley Ricketts is a registered financial advisor currently at RICKETTS FINANCIAL, LLC located in Louisville, Kentucky.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Christopher has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
Name of Business : The West End School Address: 3628 Virginia Ave,Louisville, KY Nature of the Business: Coach (paid) Position/Title: Coach (paid) Investment Related:No Start Date: 08/23/2018 Hours per month devoted to this business: 40 Hours per month devoted to this business during trading hours: 0 Description of duties: Soccer Coach Business Name: Ricketts Financial - Investment Related: Yes - Address: 4360 Brownsboro Rd, Suite 115, Louisville, KY 40207 - Nature of Business: Investment Advisory Activities through Ricketts Financial; - Title or Relationship: Investment Advisor Representative - Start Date: 7/01/2020 - Hours per month: 160 - Hours per month during trading hours: 130 - Duties: Provide investment advisory services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Mccauley Ricketts'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

June 26, 2020 - Present

RICKETTS FINANCIAL, LLC

Office #1: 4360 Brownsboro Road Suite 115, Louisville, KY 40207
RIA
CRD#: 309381
Louisville, KY
Past

September 6, 2023 - April 22, 2025

REGULUS FINANCIAL GROUP, LLC

BD
CRD#: 150631
Louisville, KY
Past

August 19, 2020 - September 1, 2023

AMERICAN EQUITY INVESTMENT CORPORATION

BD
CRD#: 40199
NEW ALBANY, IN
Past

February 13, 2013 - July 9, 2020

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
LOUISVILLE, KY
Past

February 13, 2013 - July 9, 2020

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
LOUISVILLE, KY
Past

October 10, 2011 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
LOUISVILLE, KY
Past

April 29, 2011 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
LOUISVILLE, KY

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".
RF
RICKETTS FINANCIAL, LLC
BLUEGRASS ADVISORS, LLC | RICKETTS FINANCIAL, LLC

CRD#: 309381 / SEC#: 801-118963

RIA
Registered Investment Advisory firm - (6/22/2020 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
Kentucky
(6/26/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/7/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/28/2011
General Securities Representative Examination

Current Firm

RF
RICKETTS FINANCIAL, LLC
BLUEGRASS ADVISORS, LLC | RICKETTS FINANCIAL, LLC

CRD#: 309381 / SEC#: 801-118963

RIA
Registered Investment Advisory firm - (6/22/2020 Approved)
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Contact information

Main Address
4360 Brownsboro Road Suite 115, Louisville, KY 40207
Mailing Address
Phone number
(502) 396-4055
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR RICKETTS FINANCIAL, LLC (9/22/2025)

Regulatory assets under management

Total Number of Accounts289
AUM (Assets Under Management)$ 290,536,499

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.

Company Information

RICKETTS FINANCIAL, LLC

CRD#: 309381Louisville, KY 40207

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