Kevin M. Hickey
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.
Kevin Matthew Hickey, CFP®, who also goes by Kevin Matthew Hickey, Kevin Hickey, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1999. Kevin had worked at 6 firms and has passed the Series 63, SIE, Series 7 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
April 4, 2024 - April 9, 2026
PRINCIPAL ADVISED SERVICES
May 27, 2021 - April 9, 2026
PRINCIPAL SECURITIES, INC.
January 3, 2020 - May 20, 2021
WELLS FARGO CLEARING SERVICES, LLC
December 8, 2009 - May 22, 2018
LPL FINANCIAL LLC
June 20, 2008 - April 19, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
July 30, 1999 - February 28, 2008
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
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
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
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 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 |
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.
