TH
Timothy D. Hicks
HICKS CAPITAL MANAGEMENT
Columbus, OH 43219
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CRD#: 4180057
TH
Professional summary
Timothy D Hicks, CFP® is a registered financial advisor currently at HICKS CAPITAL MANAGEMENT, LLC located in Columbus, Ohio and PURSHE KAPLAN STERLING INVESTMENTS located in Columbus, Ohio.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Timothy has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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. HICKS CAPITAL MANAGEMENT, LLC; INVESTMENT RELATED; 4200 Regent Street, Suite 200, Columbus OH 43219 AND 999 Vanderbilt Beach Road, #200, Naples FL 34108; RIA; OWNER/PRESIDENT; START DATE: 09/2011; APPROX 120 HRS/MO; OWNER/OPERATOR, INVESTMENT MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, RETIREMENT PLANNING 2. TRAGEDY INTO TRIUMPH, NOT INVESTMENT RELATED, 1350 N COURT STREET, SUITE B, CIRCLEVILLE, OH 43113. SECRETARY OF NON-PROFIT MINISTRY, 11/2015-PRESENT, 10 HRS/MONTH, NONE DURING TRADING. DUTIES INCLUDE NOTE TAKING, WEBSITE MAINTENANCE, ORGANIZING ACTIVITIES, MINISTRY AND PASTORAL RESPONSIBILITIES. 3.Insurance-Millennium Brokerage Group-100 Winners Circle, Ste 410, Brentwood, TN 37027-Insurance-Insurance Agent-9/3/2019-5 hrs/mth-5 during trading hrs-Providing fixed annuities, life and long term care insurance to people. 4. Christian Healthcare Ministries. Non-Investment Related. 127 Hazelwood Ave, Barberton, OH 44203. Healthcare Cost Sharing. Committee Member. Start 3/2021. 1hr/mo, not during trading hours. Finance Committee meeting. 5) 1. Rental Property 2. Not investment related 3. 410 Sugar Pine, Naples, FL 34108 4. Rental Property 5. Owner 6. 10/2022 7. 1-2 hrs/mo 8. 0 hrs during trading 9. Keep track of books 10. Rental income 6. First Baptist Academy Varsity High School Baseball. Not investment related. 3000 Orange Blossom Drive, Naples, FL 34109. High School Baseball Coach. Start date: 01/2025. 35 hrs/month; none during trading hours. Baseball coach.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy D Hicks's 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®
Start date: 2004
Experience
Current
October 3, 2011 - Present
HICKS CAPITAL MANAGEMENT, LLC
Office #1: 4200 Regent Street, Suite 200, Columbus, OH 43219Office #2: 999 Vanderbilt Beach Rd, Suite 200, Naples, FL 34108RIA
CRD#: 158609
Columbus, OH
Current
September 30, 2011 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 4200 Regent St Suite 200, Columbus, OH 43219Office #2: 999 Vanderbilt Beach Road #200, Naples, FL 34108BD
CRD#: 35747
Columbus, OH
Past
June 1, 2009 - October 17, 2011
MORGAN STANLEY
RIA
CRD#: 149777
COLUMBUS, OH
Past
June 1, 2009 - October 17, 2011
MORGAN STANLEY
BD
CRD#: 149777
COLUMBUS, OH
Past
November 9, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
COLUMBUS, OH
Past
May 26, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
COLUMBUS, OH
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".
HC
HICKS CAPITAL MANAGEMENT, LLC
HICKS CAPITAL MANAGEMENT, LLC | HOCKING CAPITAL MANAGEMENT, LLC
CRD#: 158609 / SEC#: 801-113560
RIA
Registered Investment Advisory firm - (7/20/2018 Approved)Florida
Registered Investment Advisory firm - (7/23/2018 Terminated)Louisiana
Registered Investment Advisory firm - (7/23/2018 Terminated)Ohio
Registered Investment Advisory firm - (7/23/2018 Terminated)Texas
Registered Investment Advisory firm - (7/23/2018 Terminated)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.RR
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
RR
Florida(9/30/2011)
IAR
Florida(11/20/2013)
RR
Kansas(9/30/2011)
IAR
Louisiana(10/4/2012)
RR
New Jersey(6/12/2024)
RR
Ohio(9/30/2011)
IAR
Ohio(10/3/2011)
RR
South Carolina(1/2/2020)
IAR
Texas(11/10/2011)
RR
Texas(1/2/2020)
RR
Virginia(12/7/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HC
HICKS CAPITAL MANAGEMENT, LLC
HICKS CAPITAL MANAGEMENT, LLC | HOCKING CAPITAL MANAGEMENT, LLC
CRD#: 158609 / SEC#: 801-113560
RIA
Registered Investment Advisory firm - (7/20/2018 Approved)Florida
Registered Investment Advisory firm - (7/23/2018 Terminated)Louisiana
Registered Investment Advisory firm - (7/23/2018 Terminated)Ohio
Registered Investment Advisory firm - (7/23/2018 Terminated)Texas
Registered Investment Advisory firm - (7/23/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4200 Regent Street, Suite 200, Columbus, OH 43219
Mailing Address
Phone number
(614) 944-5210
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 978 |
| AUM (Assets Under Management) | $ 297,132,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
