Thomas G. Hicks
Professional summary
Thomas G Hicks III was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas G Hicks III, who also goes by Thomas G Hicks, Thomas George Hicks III, Tom Hicks III, was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1985. Thomas had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2007 - October 1, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - October 1, 2007
MORGAN STANLEY & CO. LLC
February 27, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
February 27, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
September 14, 2000 - March 28, 2006
UBS FINANCIAL SERVICES INC.
September 14, 2000 - March 28, 2006
UBS FINANCIAL SERVICES INC.
September 17, 1990 - September 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
March 20, 1985 - October 11, 1990
LEHMAN BROTHERS 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
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| HIRSHORN, WILLIAM DAVID | PRINCIPAL OPERATIONS OFFICER | 1564223 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
Red Flags
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