MH
Merritt K. Hicks
KESTRA PRIVATE WEALTH SERVICES
Missoula, MT 59801
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CRD#: 1811093
MH
Professional summary
Merritt Kay Hicks, who also goes by Merritt Kay Chisholm, Merritt Hicks, Merritt Kay Jennings, Merritt Kay Rogers, is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Missoula, Montana and KESTRA INVESTMENT SERVICES, LLC located in Missoula, Montana.
Merritt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Merritt has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Merritt Kay Chisholm | Merritt Hicks | Merritt Kay Jennings | Merritt Kay Rogers
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.
WestPeak Private Wealth: investment-related, 3819 Stephens Avenue, Suite 101, Missoula, MT 59801. Employee, Senior Client Associate, start date 9/08/2021, 40 hours/week. Operational & administrative duties. WEST PEAK PRIVATE WEALTH POSITION: Registered client assocate NATURE: Registered Field Assistant INVESTMENT RELATED: Yes NUMBER OF HOURS: 152 SECURITIES TRADING HOURS: 132 START DATE: 09/08/2021 ADDRESS: 3819 Stephens Avenue Suite 101, Missoula MT 59801, United States DESCRIPTION: Providing operational and administrative duties for the firm. MERRITT K. HICKS POSITION: Notary NATURE: Notary INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 02/05/2015 ADDRESS: 125 Bank Street, Suite 700, Missoula MT 59802, United States DESCRIPTION: Acting as witness, taking oaths as to the truth in the document, verifying identities.
CRS (Client Relationship Summary) - RIA
Click below to view Merritt Kay 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
September 8, 2021 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 3819 Stephens Avenue Suite 101, Missoula, MT 59801RIA
CRD#: 155193
Missoula, MT
Current
September 8, 2021 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1515 South Reserve St Suite 200, Missoula, MT 59801BD
CRD#: 42046
Missoula, MT
Past
October 7, 2015 - September 24, 2021
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MISSOULA, MT
Past
July 31, 2015 - September 21, 2021
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
MISSOULA, MT
Past
October 25, 1993 - March 24, 1994
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
Past
August 4, 1989 - December 22, 1993
PERSHING LLC
BD
CRD#: 7560
Past
February 28, 1989 - July 29, 1989
WEDBUSH SECURITIES INC.
BD
CRD#: 877
Past
May 25, 1988 - January 23, 1989
VOLPE BROWN WHELAN & COMPANY, LLC
BD
CRD#: 18329
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)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
Alabama(9/8/2021)
RR
Alaska(9/8/2021)
RR
Arizona(9/8/2021)
RR
California(9/8/2021)
RR
Colorado(9/8/2021)
RR
Florida(7/19/2024)
RR
Georgia(9/8/2021)
RR
Hawaii(9/8/2021)
RR
Idaho(9/8/2021)
RR
Maine(9/8/2021)
RR
Minnesota(11/21/2024)
RR
Mississippi(7/11/2025)
RR
Missouri(9/8/2021)
RR
Montana(9/8/2021)
IAR
Montana(9/8/2021)
RR
New Mexico(9/8/2021)
RR
Oregon(9/8/2021)
RR
Texas(9/8/2021)
RR
Utah(9/8/2021)
RR
Washington(9/8/2021)
RR
Wisconsin(9/8/2021)
RR
Wyoming(9/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
