Kevin M. Hickey

PRINCIPAL ADVISED SERVICES

CHARLOTTE, NC

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CRD#: 3088892

Professional summary

Kevin Matthew Hickey, CFP®, who also goes by Kevin Matthew Hickey, Kevin Hickey, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Charlotte, North Carolina and PRINCIPAL SECURITIES, INC. located in Charlotte, North Carolina.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kevin has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Matthew Hickey | Kevin Hickey

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Matthew Hickey's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Experience

Current

April 4, 2024 - Present

PRINCIPAL ADVISED SERVICES

RIA

CRD#: 297324

CHARLOTTE, NC

Current

May 27, 2021 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262

RIA

CRD#: 1137

Charlotte, NC

Past

January 3, 2020 - May 20, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLOTTE, NC

Past

December 8, 2009 - May 22, 2018

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

June 20, 2008 - April 19, 2012

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

July 30, 1999 - February 28, 2008

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

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".

PRINCIPAL ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

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.

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

Alabama
(5/27/2021)

Alaska
(5/27/2021)

Arizona
(5/27/2021)

Arkansas
(5/27/2021)

California
(5/27/2021)

Colorado
(5/27/2021)

Connecticut
(5/27/2021)

Delaware
(5/27/2021)

District of Columbia
(5/27/2021)

Florida
(5/27/2021)

Georgia
(5/27/2021)

Hawaii
(5/27/2021)

Idaho
(5/27/2021)

Illinois
(5/27/2021)

Indiana
(5/27/2021)

Iowa
(5/27/2021)

IAR

Iowa
(4/4/2024)

Kansas
(5/27/2021)

Kentucky
(5/27/2021)

Louisiana
(5/27/2021)

Maine
(5/27/2021)

Maryland
(5/27/2021)

Massachusetts
(5/27/2021)

Michigan
(5/27/2021)

Minnesota
(5/27/2021)

Mississippi
(5/27/2021)

Missouri
(5/27/2021)

Montana
(5/27/2021)

Nebraska
(5/27/2021)

Nevada
(5/27/2021)

New Hampshire
(5/27/2021)

New Jersey
(5/27/2021)

New Mexico
(5/27/2021)

New York
(5/27/2021)

North Carolina
(5/27/2021)

IAR

North Carolina
(4/4/2024)

North Dakota
(5/27/2021)

Ohio
(5/27/2021)

Oklahoma
(5/27/2021)

Oregon
(5/27/2021)

Pennsylvania
(5/27/2021)

Rhode Island
(5/27/2021)

South Carolina
(5/27/2021)

South Dakota
(5/27/2021)

Tennessee
(5/27/2021)

Texas
(5/27/2021)

Utah
(5/27/2021)

Vermont
(5/27/2021)

Virginia
(5/27/2021)

Washington
(5/27/2021)

West Virginia
(5/27/2021)

Wisconsin
(5/27/2021)

Wyoming
(5/27/2021)

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

State Security Law Exam

Series 63

Date: 8/17/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/29/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PRINCIPAL ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

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Contact information

Main Address

655 9th Street, Des Moines, IA 50309

Mailing Address

711 High Street, Des Moines, IA 50392

Phone number

(866) 412-0770

Established

Firm type

Fiscal year end

# of Employees

343

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PAS ADV 2A ADVICE BROCHURE (3/31/2025)

PRINCIPAL ADVISED SERVICES FORM ADV 2A WRAP FEE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	16,940
AUM (Assets Under Management)	$ 887,316,440

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/20/2023	Cover Page	Report
09/22/2023	Cover Page	Report
12/20/2022	Cover Page	Report

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.

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Firm Stability Insights

Kevin M. Hickey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Matthew Hickey's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

PRINCIPAL ADVISED SERVICES

State Registrations and Notice Filings

Exams

Series 63

Date: 8/17/1999

SIE

Date: 5/22/2018

Series 7

Date: 8/21/2008

Series 6

Date: 7/29/1999

FINRA

Current Firm

PRINCIPAL ADVISED SERVICES

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL ADVISED SERVICES

TRUST BUT VERIFY

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