Alfred J. Hicks

FINANCIAL PLANNING ADVISORS

ALTON, IL 62002

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CRD#: 2124371

Professional summary

Alfred Jeffrey Hicks, CFP®, who also goes by Jeff Hicks, is a registered financial advisor currently at FINANCIAL PLANNING ADVISORS, INC. located in Alton, Illinois.

Alfred is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Alfred has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff 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-FINANCIAL PLANNING ADVISORS, INC; INVESTMENT RELATED; 1600 WASHINGTON AVE., ALTON, IL 62002; RIA FIRM; PRESIDENT; 5/12/1994; 220 HRS/MONTH; 6 HRS/DAY; COMPENSATION- FEES AND BONUS; FINANCIAL AND INVESTMENT ADVICE. 2-JEFF HICKS, CFP; NON- INVESTMENT RELATED; 1600 WASHINGTON AVE., ALTON, IL 62002; INSURANCE AND FIXED ANNUITY SALES; OWNER; 1/1/1991; 20 HRS/MONTH; 0 HRS/DAY; COMPENSATION-COMMISSIONS; IMPLEMENTATION OF INSURANCE PURCHASE RECOMMENDATIONS TO CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfred Jeffrey 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®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Current

July 27, 1998 - Present

FINANCIAL PLANNING ADVISORS, INC.

Office #1: 1600 Washington Ave, Alton, IL 62002

RIA

CRD#: 122625

ALTON, IL

Past

May 18, 2001 - December 31, 2014

TRIAD ADVISORS LLC

CRD#: 25803

ALTON, IL

Past

February 25, 1994 - May 21, 2001

LOMBARD SECURITIES INCORPORATED

CRD#: 27954

BALTIMORE, MD

Past

March 15, 1993 - March 4, 1994

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

February 4, 1991 - March 15, 1993

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

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

Illinois
(7/27/1998)

IAR

Missouri
(9/23/2002)

IAR

Nevada
(7/31/2018)

IAR

Texas
(3/1/2012)

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: 4/4/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/4/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/1/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/24/1994

General Securities Principal Examination

Current Firm

FINANCIAL PLANNING ADVISORS, INC.

CRD#: 122625 / SEC#: 801-67497

RIA

Registered Investment Advisory firm - (7/16/2012 Terminated)

Illinois

Registered Investment Advisory firm - (3/27/2012 Approved)

Missouri

Registered Investment Advisory firm - (4/10/2012 Approved)

Nevada

Registered Investment Advisory firm - (7/31/2018 Approved)

Texas

Registered Investment Advisory firm - (6/26/2012 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

1600 Washington Avenue, Alton, IL 62002

Mailing Address

Phone number

(618) 474-0000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	426
AUM (Assets Under Management)	$ 33,011,111

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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Alfred J. Hicks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfred Jeffrey Hicks's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIAD ADVISORS LLC

LOMBARD SECURITIES INCORPORATED

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/4/1994

Series 63

Date: 2/4/1991

SIE

Date: 12/31/2014

Series 7

Date: 2/1/1991

Series 24

Date: 5/24/1994

Current Firm

FINANCIAL PLANNING ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FINANCIAL PLANNING ADVISORS, INC.

TRUST BUT VERIFY

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