James N. Hickman

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CRD#: 1494399

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.

James Norvelle Hickman, who also goes by Jim Hickman, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1987. James had worked at 8 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Hickman

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.

SINCE NOVEMBER 2014, MR. HICKMAN AS BEEN THE MANAGING DIRECTOR OF ELU, INC., DBA POINT BREEZE PHARMACY: A NON-INVESTMENT RELATED BUSINESS LOCATED AT 1407-11 POINT BREEZE AVENUE, PHILADELPHIA, PA. MR. HICKMAN DEVOTES APPROXIMATELY 60 HOURS PER MONTH TO PROVIDING FINANCIAL AND MANAGERIAL SERVICES TO ELU, INC., WITH LESS THAN 2 HOURS PER MONTH OCCURRING DURING U.S. TRADING HOURS.

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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 12, 2011 - May 21, 2013

DIRECT ACCESS PARTNERS LLC

CRD#: 120950

NEW YORK, NY

Past

March 23, 2006 - November 3, 2022

QUANTUM TECHNALYSIS ASSET MANAGEMENT

RIA

CRD#: 132001

PHILADELPHIA, PA

Past

August 5, 2005 - January 27, 2010

TRADING PARTNERS INC.

CRD#: 22822

DEVON, PA

Past

April 23, 2004 - December 31, 2009

TITAN FINANCIAL PARTNERS, INC.

RIA

CRD#: 116539

PHILADELPHIA, PA

Past

March 11, 2003 - December 31, 2003

TITAN FINANCIAL PARTNERS, INC.

RIA

CRD#: 116539

PHILADELPHIA, PA

Past

November 18, 2002 - July 25, 2003

SESLIA SECURITIES

CRD#: 30624

ST THOMAS, VI

Past

June 24, 1997 - May 6, 1998

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

February 18, 1988 - December 23, 1996

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

April 15, 1987 - May 7, 1997

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/13/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/23/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 4/30/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/4/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/14/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/12/2002

General Securities Principal Examination

Current Firm

DIRECT ACCESS PARTNERS LLC

DIRECT ACCESS GROUP LLC | DIRECT ACCESS PARTNERS LLC

CRD#: 120950 / SEC#: , 8-65361

Cancelled by SEC on 10/26/2016

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 04/18/2002

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
DIRECT ACCESS GROUP LLC	SOLE MANAGING MEMBER
GETTENBERG, GARY	CHIEF FINANCIAL OFFICER	1973696
ROMAN, ELLIOTT MARCEL	CHIEF COMPLIANCE OFFICER	2670426
ROMAN, ELLIOTT MARCEL	COO	2670426

Disclosures

Regulatory Event

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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Firm Stability Insights

James N. Hickman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

QUANTUM TECHNALYSIS ASSET MANAGEMENT

TRADING PARTNERS INC.

TITAN FINANCIAL PARTNERS, INC.

TITAN FINANCIAL PARTNERS, INC.

SESLIA SECURITIES

GUARDIAN INVESTOR SERVICES LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/13/2004

Series 63

Date: 11/23/2002

Series 55

Date: 4/30/2003

Series 7

Date: 8/4/1997

Series 6

Date: 4/14/1987

Series 24

Date: 11/12/2002

Current Firm

DIRECT ACCESS PARTNERS LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DIRECT ACCESS PARTNERS LLC

TRUST BUT VERIFY

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