Zeb V. Hicks
Professional summary
Zeb Vance Hicks IV, who also goes by Vance Hicks, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in Denver, Colorado.
Zeb is registered as a RR (Registered Representative) and started their career in finance in 1989. Zeb has worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Zeb Vance Hicks IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 26, 2016 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 151 Detroit Street, Denver, CO 80206November 4, 2014 - September 8, 2016
BNY MELLON SECURITIES CORPORATION
July 11, 2014 - September 8, 2016
BNY MELLON SECURITIES CORPORATION
July 19, 2013 - July 7, 2014
EQUITABLE DISTRIBUTORS, LLC
September 29, 2010 - July 12, 2013
ALLIANZ LIFE FINANCIAL SERVICES, LLC
August 1, 2006 - September 20, 2010
FIRST TRUST PORTFOLIOS L.P.
May 13, 2005 - August 4, 2006
TRUIST INVESTMENT SERVICES, INC.
March 9, 2004 - August 4, 2006
TRUIST INVESTMENT SERVICES, INC.
June 10, 2002 - October 10, 2003
IDS LIFE INSURANCE COMPANY
June 10, 2002 - October 10, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
May 26, 2000 - May 10, 2002
TRUIST INVESTMENT SERVICES, INC.
May 12, 1998 - May 26, 2000
CRESTAR SECURITIES CORPORATION
December 20, 1996 - May 14, 1998
LEGG MASON WOOD WALKER, INCORPORATED
November 26, 1996 - December 4, 1996
CHARLES SCHWAB & CO., INC.
April 1, 1996 - April 15, 1996
JOHNSTON, LEMON & CO. INCORPORATED
March 12, 1993 - August 26, 1996
CHARLES SCHWAB & CO., INC.
October 25, 1989 - November 5, 1992
PEGASUS CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/31/2022)
(9/26/2016)
(1/9/2024)
(8/30/2023)
(8/30/2023)
Exams
Series 8
Date: 4/6/1995
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
JANUS HENDERSON DISTRIBUTORS US LLC
CRD#: 28832 / SEC#: , 8-43810
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JANUS HENDERSON INVESTORS US LLC | MANAGING MEMBER | |
| ANDERS, JOHANNA MARRIE | CHIEF COMPLIANCE OFFICER AND HEAD OF DISTRIBUTION COMPLIANCE (US) | 2350087 |
| CASHEL, WILLIAM S IV | HEAD OF BUSINESS DEVELOPMENT, PRIVACORE CAPITAL, LLC | 2870348 |
| CRAWFORD, BERG ASHTON | CHIEF ACCOUNTING OFFICER | 7933828 |
| FALCONER, PETER JOHN | ASSISTANT SECRETARY | 7218508 |
| GRAUERHOLZ, STEPHANIE LYNN | DEPUTY GENERAL COUNSEL | 4696390 |
| LACY, KARLENE J | GLOBAL HEAD OF TAX | 5073113 |
| MARIANI, KRISTIN BRETT | HEAD OF COMPLIANCE, NORTH AMERICA | 2740967 |
| ROSENBERG, MICHELLE ROSE | GENERAL COUNSEL, SECRETARY | 4735608 |
| SABA, STEVEN RICHARD | FINANCIAL AND OPERATIONS PRINCIPAL | 5847576 |
| SCHWEITZER, MICHAEL ALAN | PRESIDENT | 1940642 |
| UTZ, KATHRYN BRETTON | DEPUTY CHIEF COMPLIANCE OFFICER AND N.A. HEAD OF SALES PRACTICE COMPLIANCE | 3100695 |
Red Flags
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