RH
Robert E. Hicks
PARK AVENUE SECURITIES LLC
Memphis, TN 38119
Some features on this profile are disabled
CRD#: 1746014
RH
Professional summary
Robert Emmett Hicks, who also goes by Bob Hicks, Bobby Hicks, Robert E Hicks, Robert Emmett Hicks, Robert Hicks, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Memphis, Tennessee.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Hicks | Bobby Hicks | Robert E Hicks | Robert Emmett Hicks | Robert Hicks
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.
1) Insurance Brokering,
Start Date: 5/1/2024,
Address: 6060 Primacy Parkway, Suite 175, Memphis, TN 38119,
10 total hours per month; 5 during securities trading hours,
Investment related,
Less than 10% annual compensation,
2) Independent Presbyterian Church-Volunteer,
Start Date: 9/1/2023,
Address: 4738 Walnut Grove Road, Memphis, TN 38117,
8 total hours per month; 8 during securities trading hours,
Not investment related,
No Annual Compensation,
3) President of the local NAIFA Memphis Chapter,
Start Date: 1/1/2025,
Address: N/A,
4 total hours per month; 2 during securities trading hours,
Not Investment related,
No Annual Compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Robert Emmett Hicks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Emmett Hicks'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
May 10, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6060 Primacy Pkwy Suite 175, Memphis, TN 38119RIA
BD
CRD#: 46173
Memphis, TN
Current
May 10, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6060 Primacy Pkwy Suite 175, Memphis, TN 38119RIA
BD
CRD#: 46173
Memphis, TN
Past
March 21, 2012 - April 2, 2024
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
GERMANTOWN, TN
Past
February 13, 2012 - April 2, 2024
NYLIFE SECURITIES LLC
BD
CRD#: 5167
GERMANTOWN, TN
Past
January 5, 2011 - December 31, 2011
BROKERSXPRESS LLC
RIA
CRD#: 127081
MEMPHIS, TN
Past
December 23, 2010 - December 31, 2011
BROKERSXPRESS LLC
BD
CRD#: 127081
MEMPHIS, TN
Past
January 2, 2009 - December 23, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
MEMPHIS, TN
Past
April 22, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
MEMPHIS, TN
Past
April 8, 2008 - December 23, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MEMPHIS, TN
Past
February 14, 2007 - October 30, 2007
EDWARD JONES
RIA
CRD#: 250
MEMPHIS, TN
Past
July 25, 2006 - October 30, 2007
EDWARD JONES
BD
CRD#: 250
MEMPHIS, TN
Past
February 10, 1992 - October 29, 1992
INVESTACORP, INC.
BD
CRD#: 7684
Past
April 18, 1989 - March 1, 1990
LPL FINANCIAL LLC
BD
CRD#: 6413
Past
May 18, 1988 - June 22, 1988
J.C. BRADFORD & CO.
BD
CRD#: 1287
Past
February 2, 1988 - June 9, 1988
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
Past
January 6, 1988 - February 4, 1988
SOUTHERN SECURITIES INVESTMENT BANKERS, INC.
BD
CRD#: 7223
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arkansas(6/12/2024)
IAR
Arkansas(6/12/2024)
RR
Georgia(5/13/2024)
IAR
Georgia(5/13/2024)
RR
Mississippi(5/13/2024)
IAR
Mississippi(5/13/2024)
RR
Tennessee(5/10/2024)
IAR
Tennessee(5/10/2024)
IAR
Texas(5/13/2024)
RR
Texas(5/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
10 Hudson Yards, New York, NY 10001
Mailing Address
10 Hudson Yards, New York, NY 10001
Phone number
+1 (888) 600-4667
Established
Delaware since 08/20/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,984
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BOGGS, ALLEN WARREN | HEAD OF PRODUCT & SUPERVISION | 4751363 |
| CASWELL, MARIANNE GRACE | PRESIDENT AND ELECTED MEMBER | 6424651 |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. | 5642325 |
| DESROCHERS, CARL | ELECTED MEMBER | 7807194 |
| GALLO, JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | 3108044 |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL | 4572643 |
| LESINA, LEYLA ADA | ELECTED MEMBER | 3004323 |
| MAHER, CARLY PRITCHARD | HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| PERRY, MICHAEL ANDREW | ELECTED MEMBER | 2688179 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
Regulatory assets under management
| Total Number of Accounts | 71,074 |
| AUM (Assets Under Management) | $ 14,998,852,974 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 01/22/2025 | ||
| 11/15/2023 |
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Memphis, TN 38119TRUST BUT VERIFY
Monitor Robert Hicks
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
