John R. Lickly

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CRD#: 1108717

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.

John Richard Lickly was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1983. John had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 29, 2013 - January 18, 2017

HINDS FINANCIAL GROUP INC

RIA

CRD#: 129971

LAKEWOOD, CO

Past

October 25, 2013 - December 31, 2014

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LAKEWOOD, CO

Past

October 25, 2013 - December 31, 2017

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LAKEWOOD, CO

Past

December 16, 2003 - October 28, 2013

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

DENVER, CO

Past

December 16, 2003 - October 28, 2013

INVEST FINANCIAL CORPORATION

CRD#: 12984

DENVER, CO

Past

January 1, 1999 - December 18, 2003

VERAVEST INVESTMENT ADVISORS, INC.

RIA

CRD#: 105796

DENVER, CO

Past

January 1, 1999 - June 3, 2004

FINANCIAL FORMULAS

RIA

CRD#: 113571

DENVER, CO

Past

March 24, 1983 - December 15, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HINDS FINANCIAL GROUP INC

HINDS FINANCIAL GROUP INC | THE HINDS GROUP

CRD#: 129971 / SEC#: 801-62684

RIA

Registered Investment Advisory firm - (1/16/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/8/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/9/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/23/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HINDS FINANCIAL GROUP INC

HINDS FINANCIAL GROUP INC | THE HINDS GROUP

CRD#: 129971 / SEC#: 801-62684

RIA

Registered Investment Advisory firm - (1/16/2004 Approved)

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Contact information

Main Address

141 Union Blvd. Suite 350, Lakewood, CO 80228

Mailing Address

Phone number

(303) 985-9889

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HINDS FINANCIAL GROUP INC ADV BROCHURE (12/11/2024)

Regulatory assets under management

Total Number of Accounts	632
AUM (Assets Under Management)	$ 496,088,506

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.

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Advisor Monitoring

Firm Stability Insights

John R. Lickly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

VERAVEST INVESTMENT ADVISORS, INC.

FINANCIAL FORMULAS

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

HINDS FINANCIAL GROUP INC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/8/2003

Series 65

Date: 10/9/1997

SIE

Date: 12/31/2017

Series 6

Date: 3/23/1983

Current Firm

HINDS FINANCIAL GROUP INC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HINDS FINANCIAL GROUP INC

TRUST BUT VERIFY

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