Frank H. Hickcox
Professional summary
Frank Hilary Hickcox II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Frank had worked at 4 firms, which includes MISSION SECURITIES CORPORATION, AMERICAN INCOME SECURITIES, TRADEWAY SECURITIES GROUP INC., CHATFIELD DEAN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2002 - December 20, 2002
MISSION SECURITIES CORPORATION
December 3, 1997 - January 3, 2002
AMERICAN INCOME SECURITIES
August 16, 1996 - December 12, 1997
TRADEWAY SECURITIES GROUP, INC.
November 21, 1995 - July 30, 1996
CHATFIELD DEAN & CO., INC.
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
Current Firm
MISSION SECURITIES CORPORATION
CRD#: 41779 / SEC#: , 8-49567
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
