Gary W. Hickman
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.
Gary W Hickman, who also goes by Gary Wayne Hickman, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1981. Gary had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2017 - February 8, 2022
AVANTAX ADVISORY SERVICES
January 30, 2017 - February 8, 2022
AVANTAX INVESTMENT SERVICES, INC.
July 24, 2014 - December 31, 2016
MONEY CONCEPTS CAPITAL CORP
July 11, 2014 - December 31, 2016
MONEY CONCEPTS CAPITAL CORP
September 8, 2006 - February 3, 2014
MONEY CONCEPTS CAPITAL CORP
September 8, 2006 - February 3, 2014
MONEY CONCEPTS CAPITAL CORP
December 27, 2001 - September 8, 2006
MONEY CONCEPTS CAPITAL CORP
July 31, 1997 - September 8, 2006
MONEY CONCEPTS CAPITAL CORP
November 4, 1991 - August 4, 1997
AVANTAX INVESTMENT SERVICES, INC.
April 17, 1991 - November 4, 1991
FFP SECURITIES, INC.
December 6, 1983 - December 31, 1990
PFS INVESTMENTS INC.
October 8, 1981 - July 27, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
