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MH

Mercer Hicks

Some features on this profile are disabled
CRD#: 245170
MH

Professional summary

Mercer Hicks III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mercer is a previously registered financial advisor and started their career in finance in 1972. Prior to being barred, Mercer had worked at 15 firms, which includes SOUTHEAST INVESTMENTS N.C. INC., CAPITAL INVESTMENT ADVISORY SERVICES LLC, CIC ADVISERS LLC, CAPITAL INVESTMENT GROUP INC., CANTELLA & CO. INC., AMERICAN INVESTMENT SERVICES INC., ROBERT THOMAS SECURITIES INC, ADVANTAGE CAPITAL CORPORATION, BANC OF AMERICA INVESTMENT SERVICES INC., THOMSON MCKINNON SECURITIES INC., CAROLINA SECURITIES CORPORATION, FIRST UNION CAPITAL MARKETS CORP., E. F. HUTTON & COMPANY INC, J.C. BRADFORD & CO., REYNOLDS SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mercer Hicks | Toby Mercer Hicks Iii | Toby Hicks Iii

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

May 15, 2014 - November 18, 2014

SOUTHEAST INVESTMENTS, N.C., INC.

RIA
CRD#: 43035
PINEHURST, NC
Past

April 25, 2014 - December 23, 2021

SOUTHEAST INVESTMENTS, N.C., INC.

BD
CRD#: 43035
CHARLOTTE, NC
Past

January 10, 2013 - April 14, 2014

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RIA
CRD#: 149124
RALEIGH, NC
Past

April 6, 2009 - December 31, 2012

CIC ADVISERS, LLC

RIA
CRD#: 130735
RALEIGH, NC
Past

April 3, 2009 - April 14, 2014

CAPITAL INVESTMENT GROUP, INC.

BD
CRD#: 14752
PINEHURST, NC
Past

June 3, 2003 - April 1, 2009

CANTELLA & CO., INC.

RIA
CRD#: 13905
PINEHURST, NC
Past

July 24, 2001 - April 1, 2009

CANTELLA & CO., INC.

BD
CRD#: 13905
PINEHURST, NC
Past

March 18, 1997 - August 17, 2001

AMERICAN INVESTMENT SERVICES, INC.

BD
CRD#: 21111
OKLAHOMA CITY, OK
Past

October 14, 1993 - March 14, 1997

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

April 19, 1991 - October 11, 1993

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
ATLANTA, GA
Past

September 11, 1989 - April 23, 1991

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

February 24, 1988 - September 5, 1989

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
NEW YORK, NY
Past

October 9, 1984 - February 24, 1988

CAROLINA SECURITIES CORPORATION

BD
CRD#: 142
Past

November 2, 1978 - September 24, 1984

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
Past

April 15, 1975 - December 14, 1978

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

April 30, 1974 - April 15, 1975

J.C. BRADFORD & CO.

BD
CRD#: 1287
Past

June 28, 1972 - May 18, 1974

REYNOLDS SECURITIES, INC.

BD
CRD#: 712

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/8/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/1/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 6/26/1972
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/1/1994
General Securities Principal Examination

Current Firm

SI
SOUTHEAST INVESTMENTS, N.C., INC.
SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida
Registered Investment Advisory firm - SEC (11/7/2019 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (3/31/2016 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (1/6/2012 Approved)
Texas
Registered Investment Advisory firm - SEC (12/16/2015 Terminated)
Virginia
Registered Investment Advisory firm - SEC (12/21/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528
Mailing Address
820 Tyvola Road-suite 104, Charlotte, NC 28217
Phone number
(704) 527-7873
Established
North Carolina since 12/06/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BLACK, JONATHAN HARRISONPRESIDENT/CEO/CCO/FINOP4975641
PLEXICO, RONALD DAVID JRPRINCIPAL2122340

Disclosures

Regulatory Event3
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

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