Steven A. Hicks
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.
Steven Allen Hicks was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2005 - September 8, 2016
LEGEND ADVISORY, LLC
January 3, 2005 - September 8, 2016
LEGEND EQUITIES CORPORATION
July 16, 2002 - December 31, 2004
PRUCO SECURITIES, LLC.
November 12, 2001 - December 31, 2004
PRUCO SECURITIES, LLC.
September 16, 1998 - November 9, 2001
SECURIAN FINANCIAL SERVICES, INC.
April 11, 1997 - September 8, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 11, 1997 - September 8, 1998
EQUITABLE ADVISORS, LLC
November 7, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 7, 1988 - April 8, 1997
PRUCO SECURITIES, LLC.
February 1, 1988 - October 24, 1988
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 1, 1988 - October 24, 1988
LINCOLN NATIONAL PENSION INSURANCE COMPANY
February 1, 1988 - October 24, 1988
OSAIC FA, INC.
October 20, 1982 - April 8, 1997
PRUCO SECURITIES, 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
LEGEND ADVISORY, LLC
CRD#: 104761 / SEC#: 801-13887
Contact information
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.
