JH
Jonathan H. Hicks
J. HAGAN CAPITAL
Louisville, KY 40222
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CRD#: 4492684
JH
Professional summary
Jonathan Hagan Hicks, who also goes by Jon H. Hicks, is a registered financial advisor currently at J. HAGAN CAPITAL, INC. located in Louisville, Kentucky.
Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Jonathan has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon H. 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.
1). JOHN H. HICKS; INSURANCE; NON-INVESTMENT RELATED; SAME BUSINESS ADDRESS; LESS THAN 20% OF BUSINESS TIME; FIXED ANNUITY SALES. 2). MR. HICKS IS THE OWNER OF J. HAGAN CAPITAL LLC. FROM TIME TO TIME, HE MAY REFER ADVISORY CLIENTS FOR TAX OR LEGAL GUIDANCE OR PROVIDE PRODUCTS FROM THOSE ACTIVITIES. CLIENTS SHOULD BE AWARE THAT THESE SERVICES MAY INVOLVE A CONFLICT OF INTEREST. JHC ALWAYS ACTS IN THE BEST INTEREST OF THE CLIENT AND CLIENTS ALWAYS HAVE THE RIGHT TO DECIDE WHETHER OR NOT TO UTILIZE THE SERVICES OF ANY REPRESENTATIVE OF JHC IN SUCH INDIVIDUALS OUTSIDE CAPACITIES. NO TIME IS SPENT ON THIS ACTIVITY DURING TRADING HOURS. 2 HOURS A MONTH ARE SPENT ON THIS ACTIVITY OUTSIDE OF TRADING HOURS. NO YEARLY COMPENSATION IS DERIVED FROM THIS ACTIVITY. 3). MR. HICKS IS THE MANAGING PARTNER OF FEDERALIST HOLDINGS. START DATE: 2/2022; FEDERALIST HOLDINGS IS A REAL ESTATE HOLDING COMPANY. 0 HOURS SPENT DURING SECURITIES TRADING HOURS 4) AUCTUS TACTICAL INC.; INVESTMENT RELATED; PROVIDES CONSULTING SERVICES TO PRIVATE EQUITY AND HEDGE FUND COMPANIES REGARDING TRADING STRATEGIES AND SYSTEMS; FOUNDER; START DATE: 10/2023; 5 HOURS SPENT PER MONTH DURING SECURITIES TRADING HOURS; JOB DUTIES: FOUNDER AND CONSULTANT 5) DEMTER TACTICAL INVESTMENTS CORP (DTIC); INVESTMENT RELATED; DTIC OPERATES TACTICAL AND QUANTITATIVE INVESTMENT STRATEGIES FOR US BASED CLIENTS; CHIEF MARKETING OFFICER; START DATE 10/2024; 10 HOURS SPENT PER WEEK DURING SECURITIES TRADING HOURS; JOB DUTIES: MARKETING INITIATIVES AND COMMUNICATION WITH OTHER RIA OFFICES.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Hagan 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®
NoneExperience
Current
September 17, 2013 - Present
J. HAGAN CAPITAL, INC.
Office #1: 8311 Shelbyville Road, Louisville, KY 40222RIA
CRD#: 168467
Louisville, KY
Past
March 25, 2009 - September 6, 2013
MADISON AVENUE SECURITIES, LLC
RIA
CRD#: 23224
LOUISVILLE, KY
Past
January 16, 2009 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
RIA
CRD#: 137461
SAN DIEGO, CA
Past
January 7, 2009 - September 6, 2013
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
LOUISVILLE, KY
Past
July 10, 2007 - December 31, 2008
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
LOUISVILLE, KY
Past
May 5, 2006 - December 31, 2008
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LOUISVILLE, KY
Past
September 3, 2004 - May 9, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
LOUISVILLE, KY
Past
March 12, 2002 - September 8, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
JH
J. HAGAN CAPITAL, INC.
HERVEST | J. HAGAN, WARREN & ASSOCIATES WEALTH ADVISORS LLC | J. HAGAN WARREN CAPITAL PARTNERS LIMITED | J. HAGAN CAPITAL, INC. | J. HAGAN & WARREN
CRD#: 168467 / SEC#: 801-121718
RIA
Registered Investment Advisory firm - (7/9/2021 Approved)Indiana
Registered Investment Advisory firm - (7/19/2021 Terminated)Kentucky
Registered Investment Advisory firm - (7/15/2021 Terminated)Louisiana
Registered Investment Advisory firm - (8/2/2021 Terminated)North Carolina
Registered Investment Advisory firm - (7/30/2021 Terminated)Virginia
Registered Investment Advisory firm - (7/31/2021 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.Highlighted states indicate IAR registrations
IAR
Indiana(9/8/2020)
IAR
Kentucky(9/17/2013)
IAR
Louisiana(6/29/2020)
IAR
Texas(5/11/2023)
IAR
Virginia(9/17/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
JH
J. HAGAN CAPITAL, INC.
HERVEST | J. HAGAN, WARREN & ASSOCIATES WEALTH ADVISORS LLC | J. HAGAN WARREN CAPITAL PARTNERS LIMITED | J. HAGAN CAPITAL, INC. | J. HAGAN & WARREN
CRD#: 168467 / SEC#: 801-121718
RIA
Registered Investment Advisory firm - (7/9/2021 Approved)Indiana
Registered Investment Advisory firm - (7/19/2021 Terminated)Kentucky
Registered Investment Advisory firm - (7/15/2021 Terminated)Louisiana
Registered Investment Advisory firm - (8/2/2021 Terminated)North Carolina
Registered Investment Advisory firm - (7/30/2021 Terminated)Virginia
Registered Investment Advisory firm - (7/31/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8311 Shelbyville Road, Louisville, KY 40222
Mailing Address
Phone number
(502) 690-5635
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,042 |
| AUM (Assets Under Management) | $ 260,883,940 |
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.
Company Information
J. HAGAN CAPITAL, INC.
CRD#: 168467Louisville, KY 40222TRUST BUT VERIFY
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