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Carl Heick

Ameriprise Financial Services, LLC
42 Years of Experience
Louisville, KY
22 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Carl Heick is a registered investment advisor at Ameriprise Financial Services, LLC, based in Louisville, KY, with 42 years of industry experience. Carl is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

408 Blankenbaker Pkwy, Suite 100, Louisville, KY, 40243-1896

Get directions

History

Regulatory History (22)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
July 2007
Final
Customer Dispute
July 2007
Settled
Customer Dispute
June 2007
Settled
Customer Dispute
June 2007
Settled
Customer Dispute
May 2007
Settled
Customer Dispute
May 2007
Settled
Customer Dispute
March 2006
Settled
Customer Dispute
February 2006
Settled
Customer Dispute
January 2006
Settled
Customer Dispute
January 2006
Settled
Customer Dispute
January 2006
Denied
Customer Dispute
January 2006
Settled
Customer Dispute
December 2004
Denied
Customer Dispute
July 2003
Settled
Customer Dispute
June 2003
Settled
Customer Dispute
April 2003
Denied
Customer Dispute
October 2002
Settled
Customer Dispute
April 2002
Denied
Customer Dispute
February 2002
Settled
Customer Dispute
January 2002
Denied
Customer Dispute
October 2001
Denied
Customer Dispute
March 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Carl owns commercial real estate, is an independent insurance broker selling disability income, and has a consulting business. He also participates in an investment club and serves as President of Heick, dedicating a few hours per week to each, while spending about a quarter of his time on other outside employment.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
June 2004 - Present · 22 yrs 4 mos
Ameriprise Financial Services, LLC
November 1983 - Present · 42 yrs 11 mos
Ameriprise Financial Services, LLCBroker
November 1983 - Present · 42 yrs 11 mos
Previous Registrations
Ids Life Insurance CompanyBroker
May 2003 - July 2006 · 3 yrs 2 mos
Ids Life Insurance CompanyBroker
October 2001 - January 2002 · 3 mos
Ids Financial Services INC.Broker
November 1983 - December 1986 · 3 yrs 1 mo
State Registrations28 states
ALARAZCACODCFLGAILINKYLAMDMIMNMOMTNCNJNMOHORPASCTNTXVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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