SH
Stephen P. Hickey
PIMCO INVESTMENTS LLC
New York, NY 10019
Some features on this profile are disabled
CRD#: 1736697
SH
Professional summary
Stephen Peter Hickey is a registered financial professional currently at PIMCO INVESTMENTS LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1987. Stephen has worked at 7 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Peter Hickey's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 6, 2022 - Present
PIMCO INVESTMENTS LLC
Office #1: 1633 Broadway 45th Floor, New York, NY 10019BD
CRD#: 154957
New York, NY
Past
March 12, 2020 - June 29, 2022
SPC CAPITAL MARKETS LLC
BD
CRD#: 304381
Greenwich, CT
Past
November 13, 2019 - February 24, 2020
PICKWICK CAPITAL PARTNERS, LLC
BD
CRD#: 130672
WHITE PLAINS, NY
Past
April 21, 2016 - December 11, 2017
CVC FUNDING, LLC
BD
CRD#: 277056
NEW YORK, NY
Past
November 25, 2013 - April 22, 2016
RESOURCE SECURITIES LLC
BD
CRD#: 133022
NEW YORK, NY
Past
November 24, 2000 - January 27, 2012
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
May 23, 1996 - November 20, 2000
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
September 22, 1987 - June 19, 1996
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/6/2022)
RR
Alaska(7/6/2022)
RR
Arizona(7/6/2022)
RR
Arkansas(7/6/2022)
RR
California(7/6/2022)
RR
Colorado(7/6/2022)
RR
Connecticut(7/6/2022)
RR
Delaware(7/6/2022)
RR
District of Columbia(7/6/2022)
RR
Florida(7/6/2022)
RR
Georgia(7/6/2022)
RR
Hawaii(7/6/2022)
RR
Idaho(7/6/2022)
RR
Illinois(7/6/2022)
RR
Indiana(7/6/2022)
RR
Iowa(7/6/2022)
RR
Kansas(7/6/2022)
RR
Kentucky(7/6/2022)
RR
Louisiana(7/6/2022)
RR
Maine(7/6/2022)
RR
Maryland(7/6/2022)
RR
Massachusetts(7/6/2022)
RR
Michigan(7/6/2022)
RR
Minnesota(7/6/2022)
RR
Mississippi(7/6/2022)
RR
Missouri(7/6/2022)
RR
Montana(7/6/2022)
RR
Nebraska(7/6/2022)
RR
Nevada(7/6/2022)
RR
New Hampshire(7/6/2022)
RR
New Jersey(7/6/2022)
RR
New Mexico(7/6/2022)
RR
New York(7/6/2022)
RR
North Carolina(7/6/2022)
RR
North Dakota(7/6/2022)
RR
Ohio(7/7/2022)
RR
Oklahoma(7/6/2022)
RR
Oregon(7/6/2022)
RR
Pennsylvania(7/6/2022)
RR
Rhode Island(7/6/2022)
RR
South Carolina(7/6/2022)
RR
South Dakota(7/6/2022)
RR
Tennessee(7/6/2022)
RR
Texas(7/6/2022)
RR
Utah(7/6/2022)
RR
Vermont(7/6/2022)
RR
Virginia(7/6/2022)
RR
Washington(7/6/2022)
RR
West Virginia(7/6/2022)
RR
Wisconsin(7/6/2022)
RR
Wyoming(7/6/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 739-3000
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
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.
