Robert S. Ficks
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.
Robert Snowden Ficks, who also goes by R. Snowden Ficks, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 87, Series 7, Series 9, Series 10, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2013 - October 1, 2024
CARL M. HENNIG, INC.
September 30, 2010 - October 1, 2024
CARL M. HENNIG, INC.
November 29, 2001 - May 16, 2011
BRIGGS-FICKS SECURITIES, LLC
July 7, 2000 - November 29, 2001
FIRST MIDWEST SECURITIES, INC.
August 25, 1997 - July 17, 2000
SEGERDAHL & COMPANY, INC.
March 12, 1996 - April 24, 1997
PIPER SANDLER & CO.
May 9, 1986 - November 30, 1995
ROBERT W. BAIRD & CO. INCORPORATED
October 26, 1984 - December 10, 1985
AMERICAN GLOBAL WEALTH MANAGEMENT, 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 2/10/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CARL M. HENNIG, INC.
CRD#: 140 / SEC#: , 8-14509
Contact information
FINRA licenses (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24 |
| AUM (Assets Under Management) | $ 24,700,000 |
Disclosures
| Regulatory Event | 3 |
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.
