James B. Hickman

OAKLEAF ASSET ADVISORS

PASO ROBLES, CA

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CRD#: 2336338

Professional summary

James Brian Hickman is a registered financial advisor currently at OAKLEAF ASSET ADVISORS located in Paso Robles, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. James has worked at 6 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 20, 2010 - Present

OAKLEAF ASSET ADVISORS

RIA

CRD#: 153182

PASO ROBLES, CA

Past

January 8, 2007 - May 6, 2010

MARK CAPITAL MANAGEMENT INC

RIA

CRD#: 110075

FRESNO, CA

Past

January 25, 1999 - January 5, 2007

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

FRESNO, CA

Past

July 10, 1998 - January 5, 2007

CHARLES SCHWAB & CO., INC.

CRD#: 5393

FRESNO, CA

Past

July 17, 1996 - April 16, 1998

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

July 1, 1996 - August 15, 1996

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

Past

April 23, 1993 - July 25, 1994

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

California
(4/20/2010)

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: 11/6/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 5/14/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/22/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/20/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/22/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

OAKLEAF ASSET ADVISORS

HICKMAN, JAMES, BRIAN | OAKLEAF ASSET ADVISORS

CRD#: 153182 / SEC#:

California

Registered Investment Advisory firm - (4/19/2010 Approved)

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Contact information

Main Address

Paso Robles, CA

Mailing Address

Phone number

(559) 321-8539

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	89
AUM (Assets Under Management)	$ 31,097,814

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James B. Hickman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Brian Hickman's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARK CAPITAL MANAGEMENT INC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

GUARANTY BROKERAGE SERVICES, INC.

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/6/1998

Series 63

Date: 5/7/1993

Series 31

Date: 5/14/1993

Series 7

Date: 4/22/1993

Series 10

Date: 10/20/2000

Series 9

Date: 9/22/2000

Current Firm

OAKLEAF ASSET ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OAKLEAF ASSET ADVISORS

TRUST BUT VERIFY

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