William E. Hicks
STIFEL, NICOLAUS & COMPANY
Gainesville, GA 30501
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CRD#: 2814653
Professional summary
William Edward Hicks JR, CFP®, who also goes by Will Hicks Jr, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Gainesville, Georgia.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. William has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Education Planning
Business Succession Planning
Estate Planning
Employee and Employer Plan Ben...
Investment Planning
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
Will Hicks Jr
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. Cricks Properties LLC; 212 Green St. NE, Gainesville, GA 30501; LLC set up to own office building/ real estate leased to Stifel Nicolaus; Member;Annual reconciliation with tenant, maintenance decisions, work with accountant to gather and prepare data for tax filings; 10/01/2011; 2 Hours per Month; During securities trading hours; Investment-Related. 2. Beta Delta House Corporation; 1084 Prince Ave Athens GA 30601; Owns and manages the fraternity house located on the property; President; Direct overall activity within the Corporation, maintain ties with undergraduate members of the fraternity (tenants) and alumni. Maintain the house as needed by working with established subcontractor; 09/18/2023; 2.00hrs/week; not during securities trading hours; Not Investment-Related. 3. Habitat for Humanity of Hall County; 2380 Murphy Blvd, Gainseville, GA 20504; Provider of low income housing; Board Member; Monthly board meetings, raise awareness of organizations in community; 01/01/2021; 2 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 4. Beyond Dementia Coalition, Inc; P.O. Box 1044, Gainesville, GA 30503; To train first responders and other caregivers how to recognize and interact with people who may have dementia and Alzheimer's; Member of the Board of Directors; Help with initial formation of the organization, act as sounding board for leadership, develop longer term strategy to not only achieve goals locally but to help grow organization outside of our area; 04/03/2023; 5 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view William Edward Hicks JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Edward Hicks JR'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®
CFP®
Start date: 2006
Experience
Current
February 4, 2010 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 212 Green Street Ne, Gainesville, GA 30501RIA
BD
CRD#: 793
Gainesville, GA
Current
February 4, 2010 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 212 Green Street Ne, Gainesville, GA 30501RIA
BD
CRD#: 793
Gainesville, GA
Past
January 1, 2008 - February 4, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GAINESVILLE, GA
Past
January 1, 2008 - February 4, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GAINESVILLE, GA
Past
May 7, 2003 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
GAINESVILLE, GA
Past
November 11, 1996 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
GAINESVILLE, GA
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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(3/13/2013)
RR
Arizona(12/19/2024)
RR
Arkansas(7/28/2023)
RR
California(5/12/2022)
RR
Colorado(9/21/2021)
RR
Florida(2/4/2010)
RR
Georgia(2/4/2010)
IAR
Georgia(2/4/2010)
RR
Indiana(5/2/2024)
RR
Louisiana(9/6/2023)
RR
Maine(5/7/2025)
RR
Mississippi(1/24/2025)
RR
Missouri(12/24/2020)
RR
Montana(1/4/2017)
RR
Nevada(5/21/2015)
RR
North Carolina(2/4/2010)
RR
Oregon(7/19/2024)
RR
South Carolina(2/4/2010)
RR
Virginia(2/4/2010)
RR
Washington(7/25/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Gainesville, GA 30501TRUST BUT VERIFY
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