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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

RICHARDSON COLT HENDEE

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Glastonbury, CT | Deep River, CT

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Search this name across graphsid dfx:ria:7b5ca58e-b21d-d4f4-1295-cae25af585a3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 25, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 9, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jan 9, 2010
First registration: Jan 25, 2010
Dual registered: yes, broker-dealer
Other names: RICK HENDEE|HENDEE RICHARDSON
IAPD individual key: 5719088

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 15, 2022	n/a	yes	Glastonbury, CT\|Deep River, CT	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	Dec 21, 2022	no	STAMFORD, CT\|GUILFORD, CT	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Aug 27, 2012	Mar 25, 2017	no	STAMFORD, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 25, 2010	Mar 2, 2011	no	STAMFORD, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MML INVESTORS SERVICES, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 21, 2022	Dec 15, 2022	-6	Firm change	Ibd to ibd
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MSI FINANCIAL SERVICES, INC.	Mar 2, 2011	Aug 27, 2012	544	Firm change after gap	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Dec 15, 2022 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 25, 2017 to Dec 21, 2022factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 27, 2012 to Mar 25, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 25, 2010 to Mar 2, 2011factForm ADV

Dated events

Occurred
Dec 21, 2022
Advisor changed firm
Richardson Colt Hendee left Mml Investors Services, Llc for Ameriprise Financial Services, Llc (registered 2022-12-15)
Form ADVobserved 6 days ago