James R. Hicks
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.
James Robert Hicks, who also goes by Bob Hicks, J B Hicks, Jim Hicks, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 6 firms and has passed the Series 65, Series 63, Series 7 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
October 27, 1998 - January 20, 1999
BANC ONE SECURITIES CORPORATION
January 6, 1998 - September 14, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 15, 1995 - January 5, 1998
BA INVESTMENT SERVICES, INC.
October 20, 1994 - January 25, 1995
INVESTMENT CENTERS OF AMERICA, INC.
September 2, 1994 - October 20, 1994
STEIN, SHORE SECURITIES, INC.
December 3, 1993 - August 19, 1994
FIDELITY BROKERAGE SERVICES LLC
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
BANC ONE SECURITIES CORPORATION
CRD#: 16999 / SEC#: , 8-34881
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDING CORPORATION | HOLDING COMPANY | |
| ANDERSON, ELLEN FOWLER | ASSISTANT SECRETARY | 1819869 |
| BERRY, JAMES C. P. | SECRETARY | 4361911 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DAVIS, JEFFREY L | ASSISTANT SECRETARY | |
| DONOVAN, DAVID EDWIN | EXECUTIVE VICE PRESIDENT, DIRECTOR | 1081912 |
| FELKER, WILLIAM ROBERT | PRESIDENT & CEO, DIRECTOR | 2354456 |
| KRAMER, JOHN MCDEVITT | CHIEF COMPLIANCE OFFICER | 2350116 |
| MACLELLAN, JOHN STEPHEN | SENIOR VICE PRESIDENT, DIRECTOR | 1050214 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| REED, MICHAEL JOHN | EXECUTIVE VICE PRESIDENT, DIRECTOR | 1553478 |
| SAMSON, TIMOTHY HUGH | ASSISTANT SECRETARY | 4603479 |
| SCHARF, CHARLES WILLIAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2123345 |
| WARTA, TERESA LYNN | TREASURER & CFO | 2055433 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 9 |
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.
