Jean C. Hicks
Professional summary
Jean Connell Hicks was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jean is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Jean had worked at 7 firms, which includes FORTUNE FINANCIAL SERVICES INC., SECURITIES AMERICA INC., FIRST SECURITIES USA INC., FIRST ASSOCIATED SECURITIES GROUP INC., CONSOLIDATED INVESTMENT SERVICES INC., PFS INVESTMENTS INC., INTEGRATED RESOURCES EQUITY CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2005 - July 14, 2020
FORTUNE FINANCIAL SERVICES, INC.
February 12, 2004 - April 30, 2004
SECURITIES AMERICA, INC.
November 5, 1999 - March 6, 2002
FIRST SECURITIES USA, INC.
March 14, 1995 - November 5, 1999
FIRST ASSOCIATED SECURITIES GROUP, INC.
February 9, 1995 - March 3, 1995
FIRST ASSOCIATED SECURITIES GROUP, INC.
March 6, 1992 - February 13, 1995
CONSOLIDATED INVESTMENT SERVICES, INC.
May 3, 1982 - March 13, 1992
PFS INVESTMENTS INC.
November 15, 1981 - March 31, 1982
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
