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Registered advisor
S•••• J••••• H••••
Feed of 09/15/2026
Also filed as Steve J Hicks
At current firm
3 y
since Jun 27, 2023
In the industry
19 y
since May 16, 2007 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••• F••• I••••••••• M••••••••• C•••• asset manager currentsince Jun 27, 2023 · David City, Ne
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 23, 2007 to Jul 12, 2010 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••• F••• I••••••••• M••••••••• C••••left Jul 12, 2010, registered Jun 27, 2023 (4733 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address