Thomas J. Hickman
Professional summary
Thomas John Hickman is a registered financial professional currently at CABOT LODGE SECURITIES LLC located in Fort Myers, Florida.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas John Hickman's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2019 - Present
CABOT LODGE SECURITIES LLC
July 11, 2012 - September 18, 2019
IFS SECURITIES
December 5, 2001 - July 24, 2012
LPL FINANCIAL LLC
October 2, 2000 - December 5, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
September 21, 1998 - October 30, 2000
JOHN G. KINNARD AND COMPANY, INCORPORATED
March 2, 1998 - September 24, 1998
RBC CAPITAL MARKETS, LLC
November 20, 1989 - March 2, 1998
DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/1/2019)
(9/17/2019)
(10/7/2019)
(10/2/2019)
Exams
FINRA
Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
