Elvis L. Dick
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.
Elvis Lee Dick JR was a registered financial professional .
Elvis is a previously registered financial professional and started their career in finance in 1996. Elvis had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2011 - July 8, 2014
HHM WEALTH ADVISORS, LLC
February 28, 2006 - December 15, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
January 16, 1996 - February 28, 2006
TRUSTMARK SECURITIES, INC.
Primary Firm SEC Registration
HHM WEALTH ADVISORS, LLC
CRD#: 150843 / SEC#: 801-70419
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
HHM WEALTH ADVISORS, LLC
CRD#: 150843 / SEC#: 801-70419
Contact information
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,313 |
| AUM (Assets Under Management) | $ 1,406,920,944 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 01/18/2024 | ||
| 01/03/2023 |
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.
