Carman T. Hicks

HICKS & ASSOCIATES WEALTH MANAGEMENT

CARY, NC 27511

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CRD#: 3156997

Professional summary

Carman Theodore Hicks II, CFP®, who also goes by Carman Theodore Hicks, Ted Hicks, Theodore Hicks, is a registered financial advisor currently at HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC located in Cary, North Carolina.

Carman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Carman has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carman Theodore Hicks | Ted Hicks | Theodore Hicks

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.

Fiduciary Activities; Named or act in a fiduciary capacity; such as attorney-in-fact, trustee, conservator, guardian, executor or personal representative. START DATE: 06/2013. 1 hour per month; 0 during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carman Theodore Hicks II'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

Start date: 2002

Experience

Current

November 16, 2022 - Present

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC

Office #1: 1145 Executive Circle Suite C, Cary, NC 27511

RIA

CRD#: 323171

CARY, NC

Past

October 19, 2020 - January 4, 2023

WEALTHSHIELD PARTNERS, LLC

RIA

CRD#: 169584

CARY, NC

Past

October 14, 2020 - October 15, 2020

WEALTHSHIELD PARTNERS, LLC

RIA

CRD#: 169584

CARY, NC

Past

December 31, 2001 - October 16, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CARY, NC

Past

January 8, 1999 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 8, 1999 - October 16, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CARY, 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".

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC

CRD#: 323171 / SEC#: 801-126797

RIA

Registered Investment Advisory firm - (10/28/2022 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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(11/16/2022)

IAR

Texas
(5/14/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/15/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/15/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/7/1999

General Securities Representative Examination

Current Firm

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC

CRD#: 323171 / SEC#: 801-126797

RIA

Registered Investment Advisory firm - (10/28/2022 Approved)

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Contact information

Main Address

1145 Executive Circle Suite C, Cary, NC 27511

Mailing Address

Phone number

(919) 851-5512

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HICKS & ASSOCIATES WEALTH MANAGEMENT ADV 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts	548
AUM (Assets Under Management)	$ 97,325,022

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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Advisor Monitoring

Firm Stability Insights

Carman T. Hicks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carman Theodore Hicks II's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTHSHIELD PARTNERS, LLC

WEALTHSHIELD PARTNERS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/15/1999

Series 63

Date: 2/15/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/7/1999

Current Firm

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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