James E. 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 Everett Hicks was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 21 firms and has passed the Series 63, Series 3, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 1994 - November 13, 2000
MONTEREY BAY SECURITIES, INC.
March 3, 1993 - July 16, 1993
TITAN/VALUE EQUITIES GROUP, INC.
March 25, 1992 - February 17, 1993
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 22, 1991 - September 18, 1991
IDS LIFE INSURANCE COMPANY
April 22, 1991 - September 18, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
March 16, 1991 - April 1, 1991
ASSOCIATED SECURITIES CORP.
December 22, 1986 - July 19, 1990
FIRST AMERICA EQUITIES CORP.
May 19, 1986 - July 18, 1986
ALLIED EQUITY GROUP, A FINANCIAL SERVICES CORPORATION
November 20, 1985 - November 25, 1985
BORDEN SECURITIES COMPANY
May 2, 1985 - December 20, 1985
INVESTACORP, INC.
November 1, 1984 - February 8, 1986
IDM SECURITIES CORPORATION
July 2, 1984 - October 30, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
July 26, 1983 - May 15, 1984
ACUMENT SECURITIES, INC.
March 15, 1983 - June 13, 1983
QUINCY CASS ASSOCIATES, INCORPORATED
June 17, 1982 - March 15, 1983
AMERICAN PACIFIC SECURITIES CORPORATION
February 19, 1981 - June 13, 1981
YOUNG, SMITH & PEACOCK, INC.
January 14, 1981 - March 2, 1981
LPL FINANCIAL LLC
March 26, 1980 - November 17, 1980
JW GENESIS CLEARING CORP.
September 19, 1979 - January 31, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 1978 - August 3, 1978
RAYMOND JAMES & ASSOCIATES, INC.
November 6, 1973 - January 3, 1974
FIVE/THREE SECURITIES CORPORATION
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
Series 1
Date: 11/1/1973
Registered Representative ExaminationCurrent Firm
MONTEREY BAY SECURITIES, INC.
CRD#: 16274 / SEC#: , 8-33639
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Criminal | 1 |
| Arbitration | 3 |
| Judgment/Lien | 1 |
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.
