James R. Hice
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Robert Hice, who also goes by Jim Hice, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2010 - January 10, 2020
FIRST SOUTHERN SECURITIES, LLC.
August 30, 2010 - September 3, 2014
PHORCYS CAPITAL PARTNERS, LLC
March 18, 2010 - April 16, 2010
1792 SECURITIES, LLC
January 5, 2006 - May 1, 2008
SCOTT & STRINGFELLOW, LLC
September 19, 2002 - January 12, 2006
BERGEN CAPITAL, INC.
March 11, 2002 - September 18, 2002
TEJAS SECURITIES GROUP, INC.
May 23, 1995 - March 12, 2002
PRUDENTIAL EQUITY GROUP, LLC
February 7, 1995 - May 25, 1995
RICKEL & ASSOCIATES, INC.
February 6, 1990 - February 4, 1993
WACHOVIA SECURITIES, INC.
September 29, 1987 - February 22, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1984 - October 5, 1987
SWINK & COMPANY, INC.
February 9, 1983 - December 27, 1983
HERETH, ORR & JONES, INC.
January 7, 1982 - August 2, 1982
HERETH, ORR & JONES, INC.
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
FIRST SOUTHERN SECURITIES, LLC.
CRD#: 153133 / SEC#: , 8-68503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EILER, BENJAMIN THOMAS | OWNER | 3063023 |
| HAWK, WILLIAM HEATH | PRESIDENT / CEO / ROSFP / MP | 2494928 |
| SFYRIS, VASILEIOS ALEXIOS | MANAGING PARTNER/POO | 4026992 |
| PAGAN MARXUACH, RAFAEL ANTONIO | OWNER | 2863850 |
| HOLMAN, JOHN MICHAEL | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | 1858866 |
| JACKELS, STEPHANIE KANE | FINOP/PFO | 5928877 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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