JM
Jason S. Moore
HICKS CAPITAL MANAGEMENT
Columbus, OH 43219
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CRD#: 2589788
JM
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Jason Scott Moore's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 28, 2013 - Present
HICKS CAPITAL MANAGEMENT, LLC
Office #1: 4200 Regent Street, Suite 200, Columbus, OH 43219RIA
CRD#: 158609
Columbus, OH
Current
May 24, 2013 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 4200 Regent St Suite 200, Columbus, OH 43219BD
CRD#: 35747
Columbus, OH
Past
June 1, 2009 - June 19, 2013
MORGAN STANLEY
RIA
CRD#: 149777
COLUMBUS, OH
Past
June 1, 2009 - June 19, 2013
MORGAN STANLEY
BD
CRD#: 149777
COLUMBUS, OH
Past
November 26, 1999 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
COLUMBUS, OH
Past
September 25, 1996 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
COLUMBUS, OH
Past
March 27, 1995 - September 19, 1996
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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 - (7/20/2018 Approved)Florida
Registered Investment Advisory firm - (7/23/2018 Terminated)Louisiana
Registered Investment Advisory firm - (7/23/2018 Terminated)Ohio
Registered Investment Advisory firm - (7/23/2018 Terminated)Texas
Registered Investment Advisory firm - (7/23/2018 Terminated)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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/12/2024)
RR
Florida(5/24/2013)
RR
Mississippi(10/13/2017)
RR
Nevada(5/24/2013)
RR
North Carolina(6/16/2020)
RR
Ohio(5/24/2013)
IAR
Ohio(5/28/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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 - (7/20/2018 Approved)Florida
Registered Investment Advisory firm - (7/23/2018 Terminated)Louisiana
Registered Investment Advisory firm - (7/23/2018 Terminated)Ohio
Registered Investment Advisory firm - (7/23/2018 Terminated)Texas
Registered Investment Advisory firm - (7/23/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4200 Regent Street, Suite 200, Columbus, OH 43219
Mailing Address
Phone number
(614) 944-5210
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 978 |
| AUM (Assets Under Management) | $ 297,132,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
