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RICKETTS FINANCIAL, LLC

Company Details

Name: RICKETTS FINANCIAL, LLC
Jurisdiction: Kentucky
Profit or Non-Profit: Profit
Legal type: Foreign Limited Liability Company
Status: Active
Standing: Good
File Date: 29 Jun 2020 (4 years ago)
Organization Number: 1102032
Industry: Security & Commodity Brokers, Dealers, Exchanges & Services
Number of Employees: Small (0-19)
Primary County: Jefferson
Place of Formation: DELAWARE
Authority Date: 29 Jun 2020 (4 years ago)
Last Annual Report: 17 Jun 2024 (5 months ago)
Principal Office: SUMMIT II, 4360 BROWNSBORO RD, SUITE 115, LOUISVILLE, KY 40207
Principal Office ZIP code: 40207

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
RICKETTS FINANCIAL LLC 401(K) PROFIT SHARING PLAN & TRUST 2023 851630921 2024-05-29 RICKETTS FINANCIAL LLC 4
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2021-01-01
Business code 523900
Sponsor’s telephone number 5027415813
Plan sponsor’s address 4360 BROWNSBORO RD STE 115, STE 115, LOUISVILLE, KY, 402071642

Signature of

Role Plan administrator
Date 2024-05-29
Name of individual signing C. MCCAULEY RICKETTS
Valid signature Filed with authorized/valid electronic signature
RICKETTS FINANCIAL LLC 401(K) PROFIT SHARING PLAN & TRUST 2022 851630921 2023-06-16 RICKETTS FINANCIAL LLC 4
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2021-01-01
Business code 523900
Sponsor’s telephone number 5027415813
Plan sponsor’s address 4360 BROWNSBORO RD, STE 115, LOUISVILLE, KY, 402071642

Signature of

Role Plan administrator
Date 2023-06-16
Name of individual signing CHRISTOPHER MCCAULEY RICKETTS
Valid signature Filed with authorized/valid electronic signature
RICKETTS FINANCIAL LLC CBS BENEFIT PLAN 2022 851630921 2023-12-27 RICKETTS FINANCIAL LLC 3
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2020-08-01
Business code 523120
Sponsor’s telephone number 5027415813
Plan sponsor’s address 4360 BROWNSBORO RD, STE 115, LOUISVILLE, KY, 40207

Plan administrator’s name and address

Administrator’s EIN 846429706
Plan administrator’s name SHAWNA BURTON
Plan administrator’s address 464 CHENAULT RD, FRANKFORT, KY, 40601
Administrator’s telephone number 5026954700

Signature of

Role Plan administrator
Date 2023-12-27
Name of individual signing SHAWNA BURTON
Valid signature Filed with authorized/valid electronic signature
RICKETTS FINANCIAL LLC CBS BENEFIT PLAN 2021 851630921 2022-12-29 RICKETTS FINANCIAL LLC 3
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2020-08-01
Business code 523120
Sponsor’s telephone number 5027415813
Plan sponsor’s address 4360 BROWNSBORO RD, STE 115, LOUISVILLE, KY, 40207

Plan administrator’s name and address

Administrator’s EIN 846429706
Plan administrator’s name SHAWNA BURTON
Plan administrator’s address 464 CHENAULT RD, FRANKFORT, KY, 40601
Administrator’s telephone number 5026954700

Signature of

Role Plan administrator
Date 2022-12-29
Name of individual signing SHAWNA BURTON
Valid signature Filed with authorized/valid electronic signature
RICKETTS FINANCIAL LLC 401(K) PROFIT SHARING PLAN & TRUST 2021 851630921 2022-06-21 RICKETTS FINANCIAL LLC 4
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2021-01-01
Business code 523900
Sponsor’s telephone number 5027415813
Plan sponsor’s address 4360 BROWNSBORO RD, STE 115, LOUISVILLE, KY, 402071642

Signature of

Role Plan administrator
Date 2022-06-21
Name of individual signing CHRISTOPHER MCCAULEY RICKETTS
Valid signature Filed with authorized/valid electronic signature
RICKETTS FINANCIAL LLC CBS BENEFIT PLAN 2020 851630921 2021-12-14 RICKETTS FINANCIAL LLC 3
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2020-08-01
Business code 523120
Sponsor’s telephone number 5027415813
Plan sponsor’s address 4360 BROWNSBORO RD, STE 115, LOUISVILLE, KY, 40207

Plan administrator’s name and address

Administrator’s EIN 846429706
Plan administrator’s name SHAWNA BURTON
Plan administrator’s address 464 CHENAULT RD, FRANKFORT, KY, 40601
Administrator’s telephone number 5026954700

Signature of

Role Plan administrator
Date 2021-12-14
Name of individual signing SHAWNA BURTON
Valid signature Filed with authorized/valid electronic signature

Registered Agent

Name Role
VCORP SERVICES, LLC Registered Agent

Manager

Name Role
R. MICHAEL RICKETTS Manager
PATRICK H. RICKETTS Manager
C. MCCAULEY RICKETTS Manager

Filings

Name File Date
Annual Report 2024-06-17
Annual Report 2023-03-22
Registered Agent name/address change 2022-12-15
Annual Report 2022-12-12
Agent Resignation 2022-10-19
Annual Report 2022-03-08
Annual Report 2021-08-23
Principal Office Address Change 2021-03-18
Annual Report 2020-07-27
Certificate of Authority (LLC) 2020-06-29

Date of last update: 29 Oct 2024

Sources: Kentucky Secretary of State