Elbert L. 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.
Elbert L Hicks, who also goes by Elbert Lewis Hicks, Elbert Hicks, was a registered financial professional .
Elbert is a previously registered financial professional and started their career in finance in 1988. Elbert had worked at 12 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 24 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
November 3, 2021 - October 11, 2024
PERSHING LLC
August 8, 2013 - October 11, 2024
PERSHING ADVISOR SOLUTIONS LLC
August 30, 2004 - July 26, 2013
STONEX FINANCIAL INC.
April 6, 2004 - July 21, 2004
CHARLES SCHWAB & CO., INC.
January 20, 2004 - March 9, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 1994 - December 31, 2002
CHARLES SCHWAB & CO., INC.
June 9, 1992 - November 29, 1993
TD AMERITRADE, INC.
June 30, 1990 - June 6, 1992
TRUIST INVESTMENT SERVICES, INC.
March 3, 1989 - January 24, 1990
U.S. ADVISORS, INC.
September 16, 1988 - January 18, 1989
GRAYSTONE NASH, INC.
July 12, 1988 - October 3, 1988
THE STUART-JAMES COMPANY, INCORPORATED
May 24, 1988 - June 28, 1988
CIBC WORLD MARKETS CORP.
February 23, 1988 - March 5, 1988
FIRST FIDELITY CAPITAL CORP.
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 52TO
Date: 7/31/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 12/22/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
