Brian R. 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.
Brian Ronald Hicks was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1994. Brian had worked at 10 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7 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
April 5, 2022 - November 27, 2023
LIFESCI CAPITAL
September 20, 2019 - June 21, 2021
ROSENBLATT SECURITIES INC.
January 22, 2015 - June 11, 2018
RAYMOND JAMES & ASSOCIATES, INC.
May 7, 2014 - October 9, 2014
MKM PARTNERS LLC
March 10, 2014 - May 7, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 21, 2010 - November 26, 2013
MKM PARTNERS LLC
January 14, 2008 - April 16, 2010
OPPENHEIMER & CO. INC.
October 25, 2006 - January 14, 2008
CIBC WORLD MARKETS CORP.
November 18, 2004 - August 10, 2005
J.P. MORGAN SECURITIES LLC
January 12, 2004 - November 10, 2004
UBS CAPITAL MARKETS L.P.
August 12, 1994 - January 12, 2004
SOUNDVIEW TECHNOLOGY 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/28/1999
Limited Representative-Equity Trader ExamCurrent Firm
LIFESCI CAPITAL
CRD#: 168404 / SEC#: , 8-69305
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCDONALD, ANDREW IAN | CHIEF EXECUTIVE OFFICER & OWNER | 4853168 |
| RICE, MICHAEL YEHUDA | PRESIDENT & OWNER | 1551556 |
| BENDER, STEVEN CHRISTOPHER | CFO/ FINOP | 2650187 |
| EVERTTS, ADAM GERALD | DOR - DIRECTOR OF RESERACH | 6240428 |
| KARMIOL, MICHAEL BRETT | HEAD OF CAPITAL MARKETS | 4264477 |
| VISCO, GLENN | CHIEF COMPLIANCE OFFICER | 2407619 |
Disclosures
| Regulatory Event | 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.
