Michael F. Hickey

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CRD#: 3174443

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.

Michael Francis Hickey was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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. MICAHEL F. HICKEY LTD, TAX PREPARATION AND ACCOUNTING, COMMENCED 01/2000, CORP, SPENDS 50% OF TIME, 100% OWNERSHIP, OWNER - MICHAEL F. HICKEY, INDEPENDENT INSURANCE SALES, COMMENCED 02/2002, SOLE PROPRIETORSHIP, 5% OF TIME SPENT, 100% OWNERSHIP, OWNER/AGENT - DE LA SALLE INSTITUTE, HIGH SCHOOL, COMMENCED 1985, NON-INVESTMENT RELATED, 40 HOURS PER MONTH TIME SPENT, 0% OWNERSHIP, DIRECTOR; 2. MICHAEL F HICKEY, LTD POSITION: OWNER NATURE: CORPORATION INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 01/01/1999 ADDRESS: 5210 West 95th Street, Oak Lawn, Il 60453, United States DESCRIPTION: PREPARE TAX RETURNS, PREPARE VARIOUS ACCOUNTING DUTIES FOR CLIENT, INCLUDING FINANCIAL STATEMENTS, DUE DILIGENCE 3. WESTERN CATHOLIC UNION POSITION: SALES REP NATURE: LIFE INSURANCE AND ANNUITIES INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 12/08/2023 ADDRESS: 5170 WEST 95TH STREET, OAK LAWN IL 60453, United States DESCRIPTION: MEETING WITH CLIENTS TO PROVIDE THEM NEEDS FOR INSURANCE AND ANNUITIES FOR SAVINGS FOR RETIREMENT

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 19949

STAMFORD, CT

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 4/1/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/12/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	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

Michael F. Hickey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL SECURITIES INCORPORATED

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.

HOCHMAN & BAKER SECURITIES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/1/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/20/2006

Series 6

Date: 4/12/1999

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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