Oliver W. Hickel

CASTLE PINES INVESTMENT MANAGEMENT LLC

CASTLE ROCK, CO

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CRD#: 1937503

Professional summary

Oliver William Hickel III, who also goes by Oliver W Hickel, Ollie Hickel III, is a registered financial advisor currently at CASTLE PINES INVESTMENT MANAGEMENT LLC located in Castle Rock, Colorado.

Oliver is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Oliver has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Oliver W Hickel | Ollie Hickel Iii

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Oliver William Hickel III'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®

None

Experience

Current

January 14, 2000 - Present

CASTLE PINES INVESTMENT MANAGEMENT LLC

RIA

CRD#: 113052

CASTLE ROCK, CO

Past

January 6, 1999 - December 10, 1999

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

May 1, 1991 - December 23, 1999

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

October 25, 1989 - May 2, 1991

UBC INVESTMENT CORPORATION

CRD#: 24229

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.

Highlighted states indicate IAR registrations

IAR

Colorado
(1/14/2000)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/5/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/20/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/19/1989

General Securities Principal Examination

Current Firm

CASTLE PINES INVESTMENT MANAGEMENT LLC

CASTLE PINES INVESTMENT MANAGEMENT | OLIVER WILLIAM HICKEL, III | CASTLE PINES INVESTMENT MANAGEMENT LLC

CRD#: 113052 / SEC#:

California

Registered Investment Advisory firm - (12/17/2020 Terminated)

Colorado

Registered Investment Advisory firm - (3/21/2000 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Denver, CO

Mailing Address

Phone number

(303) 688-5612

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	66
AUM (Assets Under Management)	$ 69,726,000

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.

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Oliver W. Hickel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Oliver William Hickel III's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASTLE PINES INVESTMENT MANAGEMENT LLC

WELLS FARGO SECURITIES INC.

WELLS FARGO BROKERAGE SERVICES, L.L.C.

UBC INVESTMENT CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 10/7/1999

Series 63

Date: 8/5/1991

Series 7

Date: 5/20/1989

Series 24

Date: 7/19/1989

Current Firm

CASTLE PINES INVESTMENT MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CASTLE PINES INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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