Michael A. 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.
Michael Anthony Hickman, who also goes by Michael A Hickman, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 9 firms and has passed the Series 63, Series 3, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2010 - May 30, 2013
ANDES CAPITAL GROUP, LLC
June 13, 2007 - September 3, 2008
COUNTRYWIDE SECURITIES CORPORATION
March 28, 2002 - April 9, 2007
HIGHTOWER SECURITIES, LLC
March 12, 2001 - September 21, 2001
UBS SECURITIES LLC
August 19, 1998 - March 12, 2001
UBS FINANCIAL SERVICES INC.
October 13, 1992 - August 26, 1998
NEWEDGE FINANCIAL INC.
November 4, 1989 - November 16, 1989
KOBER FINANCIAL CORP.
March 23, 1988 - July 27, 1989
THE STUART-JAMES COMPANY, INCORPORATED
May 21, 1987 - February 26, 1988
CITIGROUP GLOBAL MARKETS 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
ANDES CAPITAL GROUP, LLC
CRD#: 139212 / SEC#: , 8-67202
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
