Patrick J. 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.
Patrick James Hickey was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1999. Patrick had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2021 - May 6, 2024
JOHNSON WEALTH INC.
February 21, 2019 - September 3, 2020
WHITNELL & CO
October 31, 2013 - January 15, 2019
ASSOCIATED INVESTMENT SERVICES, INC.
October 23, 2013 - September 3, 2020
ASSOCIATED INVESTMENT SERVICES, INC.
October 23, 2009 - November 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - November 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 15, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 28, 2003 - October 23, 2008
LASALLE FINANCIAL SERVICES, INC.
March 28, 2003 - October 23, 2008
LASALLE FINANCIAL SERVICES, INC.
July 3, 2002 - February 6, 2003
BANC ONE SECURITIES CORPORATION
December 7, 1999 - February 6, 2003
BANC ONE SECURITIES CORPORATION
Primary Firm SEC Registration
JOHNSON WEALTH INC.
CRD#: 125557 / SEC#: 801-61862
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
Series 7TO
Date: 3/22/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/22/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
JOHNSON WEALTH INC.
CRD#: 125557 / SEC#: 801-61862
Contact information
SEC notice filing (45 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,888 |
| AUM (Assets Under Management) | $ 9,109,318,040 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 10/25/2023 | ||
| 12/21/2022 |
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.
