Edward Q. Hicks

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CRD#: 245121

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.

Edward Quintard Hicks was a registered financial professional .

Edward is a previously registered financial professional and started their career in finance in 1973. Edward had worked at 7 firms and has passed the Series 63 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 22, 1990 - December 31, 2013

AMERICAN INVESTORS COMPANY

CRD#: 38

LAKE ELSINORE, CA

Past

May 27, 1987 - December 31, 1989

SKAIFE & COMPANY

CRD#: 774

Past

October 8, 1985 - June 3, 1987

O. R. SECURITIES, INC.

CRD#: 10216

Past

July 28, 1980 - October 8, 1985

WZW FINANCIAL SERVICES, INC.

CRD#: 5717

Past

February 28, 1978 - March 1, 1980

DERAND/PENNINGTON/BASS, INC.

CRD#: 4679

Past

January 14, 1976 - February 18, 1978

CORNERSTONE FINANCIAL SERVICES, INC.

CRD#: 953

Past

April 12, 1973 - January 11, 1976

CONFERENCE CONCEPTS, INC.

CRD#: 764

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AMERICAN INVESTORS COMPANY

AMERICAN INVESTORS CO | L.S.Y., INC | L. S. Y., INC. | AMERICAN INVESTORS COMPANY

CRD#: 38 / SEC#: 801-57838, 8-17613

RIA

Registered Investment Advisory firm - SEC (8/22/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 3/2/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 4/9/1973

Registered Representative Examination

Current Firm

AMERICAN INVESTORS COMPANY

AMERICAN INVESTORS CO | L.S.Y., INC | L. S. Y., INC. | AMERICAN INVESTORS COMPANY

CRD#: 38 / SEC#: 801-57838, 8-17613

RIA

Registered Investment Advisory firm - SEC (8/22/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

12667 Alcosta Blvd., Suite 160, San Ramon, CA 94583

Mailing Address

P. O. Box 1307, San Ramon, CA 94583

Phone number

(925) 866-2882

Established

California since 03/02/1973

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

SEC notice filing (12 States and Territories)

FINRA licenses (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

AIC FORM ADV PART 2A - 6/26/25 (6/26/2025)

Direct owners and executive officers

Name	Position	CRD#
LEE, LARRY CHAIYA	CHAIRMAN OF THE BOARD	305344
YEE, CLARENCE	PRESIDENT, CFO, COO, CHIEF COMPLIANCE OFFICER, TREASURER, SECRETARY, PFO, POO	474356
COCHRAN, NICHOLAS COWLES	VICE-PRESIDENT	713570

Regulatory assets under management

Total Number of Accounts	1,530
AUM (Assets Under Management)	$ 578,062,390

Disclosures

Regulatory Event	3
Arbitration	2

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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Firm Stability Insights

Edward Q. Hicks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SKAIFE & COMPANY

O. R. SECURITIES, INC.

WZW FINANCIAL SERVICES, INC.

DERAND/PENNINGTON/BASS, INC.

CORNERSTONE FINANCIAL SERVICES, INC.

CONFERENCE CONCEPTS, INC.

Primary Firm SEC Registration

AMERICAN INVESTORS COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 3/2/1998

Series 1

Date: 4/9/1973

Current Firm

AMERICAN INVESTORS COMPANY

Contact information

SEC notice filing (12 States and Territories)

FINRA licenses (38 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

AMERICAN INVESTORS COMPANY

TRUST BUT VERIFY

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