Timothy D Hicks
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Credentials
Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
HICKS CAPITAL MANAGEMENT, LLC | HOCKING CAPITAL MANAGEMENT, LLC
Contact Information
Main Address
4200 Regent Street, Suite 200, Columbus, OH 43219Phone Number
(614) 944-5210# of Employees
5SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
1,020AUM (Assets Under Management)
$344,741,000Similar Advisors
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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.
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Primary Firm SEC Registration
HICKS CAPITAL MANAGEMENT, LLC | HOCKING CAPITAL MANAGEMENT, LLC
State Registrations and Notice Filings
(9/30/2011)
(11/20/2013)
(9/30/2011)
(10/4/2012)
(6/12/2024)
(9/30/2011)
(10/3/2011)
(1/2/2020)
(11/10/2011)
(1/2/2020)
(12/7/2012)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Timothy D Hicks's CRS (Customer Relationship Summary).
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