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Rick Groeschl

Ameriprise Financial Services, LLC
38 Years of Experience
De Pere, WI
4 DisclosuresBrokerSells Insurance
View SEC Summary
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Rick Groeschl is a registered investment advisor at Ameriprise Financial Services, LLC, based in De Pere, WI, with 38 years of industry experience. Rick 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
12908 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

444 Reid St Ste 200, De Pere, WI, 54115

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History

Regulatory History (4)
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.
Customer Dispute
April 2012
Settled
Customer Dispute
February 2012
Denied
Customer Dispute
October 2007
Denied
Customer Dispute
April 2004
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Rick is the President of C19 LLC (dba Gauge Guide Health Insurance Solutions), DP444 LLC (tax service), and DP380 LLC (continuity planning). These activities each take minimal time per month, and Gauge Guide Health Insurance Solutions involves selling health insurance.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
July 2017 - Present · 9 yrs 3 mos
Ameriprise Financial Services, LLC
July 2017 - Present · 9 yrs 3 mos
Ameriprise Financial Services, LLCBroker
July 2017 - Present · 9 yrs 3 mos
Previous Registrations
Morgan StanleyBroker
August 2011 - July 2017 · 5 yrs 11 mos
Morgan Stanley
August 2011 - July 2017 · 5 yrs 11 mos
Metlife Securities INC.
May 2002 - September 2011 · 9 yrs 4 mos
Metlife Securities INC.Broker
April 1989 - September 2011 · 22 yrs 5 mos
Metropolitan Life Insurance CompanyBroker
April 1989 - July 2007 · 18 yrs 3 mos
Capital Financial Services, INC.Broker
September 1988 - March 1989 · 6 mos
Equico Securities, INC.Broker
July 1988 - September 1988 · 2 mos
The Equitable Life Assurance Society of the United StatesBroker
July 1988 - September 1988 · 2 mos
State Registrations18 states
ALAZCACTFLILKSMIMNNCOHORPASCTNTXWAWI
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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