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JM

Jason Scott Moore

HICKS CAPITAL MANAGEMENT

COLUMBUS, OH

·CRD# 2589788·31 years experience

Professional Summary

Jason Scott Moore is a registered financial advisor currently at HICKS CAPITAL MANAGEMENT, LLC located in Columbus, Ohio and PURSHE KAPLAN STERLING INVESTMENTS located in Columbus, Ohio. Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Jason has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 52 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

31 years in the financial services industry

Current & Past Employments

HICKS CAPITAL MANAGEMENT, LLC·CRD# 158609

RIA

4200 Regent Street, Suite 200, Columbus, OH 43219

May 28, 2013 - Present

PURSHE KAPLAN STERLING INVESTMENTS·CRD# 35747

BD

4200 Regent St Suite 200, Columbus, OH 43219

May 24, 2013 - Present

MORGAN STANLEY·CRD# 149777

RIA

Columbus, OH

June 1, 2009 - June 19, 2013

MORGAN STANLEY·CRD# 149777

BD

Columbus, OH

June 1, 2009 - June 19, 2013

CITIGROUP GLOBAL MARKETS INC.·CRD# 7059

RIA

Columbus, OH

November 26, 1999 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.·CRD# 7059

BD

Columbus, OH

September 25, 1996 - June 1, 2009

AMERIPRISE ADVISOR SERVICES, INC.·CRD# 5979

BD

Detroit, MI

March 27, 1995 - September 19, 1996

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Current Firm

HC

HICKS CAPITAL MANAGEMENT, LLC

HICKS CAPITAL MANAGEMENT, LLC | HOCKING CAPITAL MANAGEMENT, LLC

CRD#: 158609 / SEC#: 801-113560

RIA

Registered Investment Advisory firm - SEC (7/20/2018 Approved)

Florida

Registered Investment Advisory firm - Florida (7/23/2018 Terminated)

Louisiana

Registered Investment Advisory firm - Louisiana (7/23/2018 Terminated)

Ohio

Registered Investment Advisory firm - Ohio (7/23/2018 Terminated)

Texas

Registered Investment Advisory firm - Texas (7/23/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

4200 Regent Street, Suite 200, Columbus, OH 43219

Phone Number

(614) 944-5210

# of Employees

5

SEC notice filing (4 States and Territories)

Registered to provide investment advisory services in 4 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV2A (6/15/2026)

Regulatory Assets Under Management

Total Number of Accounts

1,020

AUM (Assets Under Management)

$344,741,000

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1)SINCE 7/23/2013, I HAVE PERSONAL REAL ESTATE LEASED TO ANTERO RESOURCES. THE PROPERTY IS LOCATED AT TR 151, MOUNT EPHRAIM, OH. THE NATURE OF THE BUSINESS IS NON INVESTMENT RELATED AND INVOLVES REAL ESTATE LEASED FOR OIL AND GAS EXPLORATION. THE JASON MOORE AND VICKI MOORE FAMILY TRUST, OF WHICH I AM A TRUSTEE, HAS LEASED THE LAND AND WILL RECEIVE ROYALTIES ON ANY PRODUCTION. I SPEND APPROXIMATELY 0.5 HOURS PER MONTH DEVOTED TO THIS BUSINESS, NONE OF THE TIME DURING SECURITY TRADING HOURS. 2)HICKS CAPITAL MANAGEMENT, LLC. RIA. INVESTMENT RELATED. 4200 REGENT STREET STE 200, COLUMBUS, OH 43219. PRIVATE WEALTH ADVISOR. 180 HRS/MO. FINANCIAL PLANNING.

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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".

HC

HICKS CAPITAL MANAGEMENT, LLC

HICKS CAPITAL MANAGEMENT, LLC | HOCKING CAPITAL MANAGEMENT, LLC

CRD#: 158609 / SEC#: 801-113560

RIA

Registered Investment Advisory firm - SEC (7/20/2018 Approved)

Florida

Registered Investment Advisory firm - Florida (7/23/2018 Terminated)

Louisiana

Registered Investment Advisory firm - Louisiana (7/23/2018 Terminated)

Ohio

Registered Investment Advisory firm - Ohio (7/23/2018 Terminated)

Texas

Registered Investment Advisory firm - Texas (7/23/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(6/12/2024)

RR

Florida
(5/24/2013)

RR

Nevada
(5/24/2013)

RR

North Carolina
(6/16/2020)

RR

Ohio
(5/24/2013)

IAR

Ohio
(5/28/2013)

RR

Wisconsin
(10/2/2026)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed May 1997About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1995About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 31 — Futures Managed Funds Examination

Passed Jan 2004About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Aug 1995About the Series 7 exam

Series 52 — Municipal Securities Representative Examination

Passed Mar 1995About the Series 52 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Jason Scott Moore's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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JM

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