John D. 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.
John David Hicks SR, who also goes by John David Hicks, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1973. John had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2000 - August 19, 2004
JOHN DAVID HICKS
October 15, 1993 - January 2, 2008
VOYA FINANCIAL PARTNERS, LLC
February 7, 1984 - November 20, 2017
INTERNATIONAL MONEY MANAGEMENT GROUP, INC.
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
April 2, 1981 - February 27, 1984
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 31, 1978 - May 8, 1981
INDEPENDENT FINANCIAL PLANNERS CORPORATION
November 5, 1975 - February 4, 1978
VOSS & CO., INC.
February 14, 1974 - July 20, 1974
DUPONT-SHIELDS
August 15, 1973 - April 30, 1974
DUPONT WALSTON, INCORPORATED
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: 7/24/1973
Registered Representative ExaminationCurrent firm
No current employment
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.
