Conrad A. Wicks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Conrad Allen Wicks was a registered financial professional .
Conrad is a previously registered financial professional and started their career in finance in 1993. Conrad had worked at 3 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2010 - September 28, 2012
THE LEADERS GROUP, INC.
August 1, 2008 - December 31, 2008
NATIONWIDE SECURITIES, LLC
August 1, 2008 - July 29, 2010
NATIONWIDE SECURITIES, LLC
January 1, 1999 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
March 10, 1993 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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