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Advisor at HICKS CAPITAL MANAGEMENT, LLC
COLUMBUS, OH
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| HICKS CAPITAL MANAGEMENT, LLC | Independent wealth | Nov 16, 2016 | n/a | yes | COLUMBUS, OH | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Mar 6, 2009 | Jan 21, 2011 | no | NEW ALBANY, OH | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Oct 27, 2006 | Dec 20, 2008 | no | COLUMBUS, OH | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Oct 20, 2005 | Oct 31, 2006 | no | NEW ALBANY, OH|COLUMBUS, OH | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | HICKS CAPITAL MANAGEMENT, LLC | Jan 21, 2011 | Nov 16, 2016 | 2,126 | Firm change after gap | Wirehouse to RIA |
| CITIGROUP GLOBAL MARKETS INC. | UBS FINANCIAL SERVICES INC. | Dec 20, 2008 | Mar 6, 2009 | 76 | Firm change | Other |
| MORGAN STANLEY DW INC. | CITIGROUP GLOBAL MARKETS INC. | Oct 31, 2006 | Oct 27, 2006 | -4 | Firm change | Other |