Joseph H. Hickman
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.
Joseph Howard Hickman, who also goes by Joe H Hickman, Joe Howard Hickman, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7 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
July 27, 2009 - August 3, 2015
HICKMAN ASSET MANAGEMENT, LLC
January 1, 2008 - April 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 17, 2002 - January 1, 2008
A. G. EDWARDS & SONS, INC.
June 22, 2001 - January 3, 2008
A. G. EDWARDS & SONS, INC.
June 12, 2000 - June 7, 2001
MORGAN STANLEY DW INC.
August 8, 1995 - July 7, 2000
UBS FINANCIAL SERVICES INC.
November 3, 1986 - August 22, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1986 - October 24, 1986
THE STUART-JAMES COMPANY, INCORPORATED
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 8
Date: 12/31/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HICKMAN ASSET MANAGEMENT, LLC
CRD#: 150256 / SEC#:
Contact information
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.
