Gail 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.
Gail A Hicks, CFP®, who also goes by Gail Ann Hicks, Gail Ann Nichols, was a registered financial professional .
Gail is a previously registered financial professional and started their career in finance in 1986. Gail had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2016 - March 18, 2019
KLEIN FINANCIAL ADVISORS, INC.
June 29, 2011 - January 26, 2016
1ST GLOBAL CAPITAL CORP.
May 17, 2011 - January 26, 2016
1ST GLOBAL ADVISORS INC
August 1, 2002 - June 23, 2003
F500 ADVISORY SERVICES, INC.
June 24, 2002 - April 3, 2003
FINANCE 500, INC.
December 9, 1994 - March 1, 2002
MERCER ALLIED COMPANY, L.P.
February 28, 1990 - December 9, 1994
MERCER ALLIED CORPORATION
May 23, 1986 - December 5, 1989
TITAN/VALUE EQUITIES GROUP, 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
KLEIN FINANCIAL ADVISORS, INC.
CRD#: 128910 / SEC#: 801-121060
Contact information
Regulatory assets under management
| Total Number of Accounts | 286 |
| AUM (Assets Under Management) | $ 121,010,222 |
Red Flags
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