Paul Richards

HICKS & ASSOCIATES WEALTH MANAGEMENT

CARY, NC 27511

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CRD#: 4552309

Professional summary

Paul Richards, CFP®, who also goes by Paul Michael Richards, is a registered financial advisor currently at HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC located in Cary, North Carolina.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Paul has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paul Michael Richards

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Richards's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2016

Experience

Current

November 16, 2022 - Present

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC

Office #1: 1145 Executive Circle Suite C, Cary, NC 27511

RIA

CRD#: 323171

CARY, NC

Past

October 14, 2020 - January 4, 2023

WEALTHSHIELD PARTNERS, LLC

RIA

CRD#: 169584

CARY, NC

Past

February 28, 2020 - October 12, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CARY, NC

Past

February 28, 2020 - October 12, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CARY, NC

Past

November 28, 2016 - March 3, 2020

EDWARD JONES

RIA

CRD#: 250

CHARLOTTE, NC

Past

November 28, 2016 - March 3, 2020

EDWARD JONES

CRD#: 250

CHARLOTTE, NC

Past

August 7, 2013 - November 10, 2016

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

CHARLOTTE, NC

Past

March 23, 2012 - July 25, 2013

NEWPORT GROUP SECURITIES, INC.

CRD#: 29722

CHARLOTTE, NC

Past

July 9, 2002 - March 12, 2004

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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".

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC

CRD#: 323171 / SEC#: 801-126797

RIA

Registered Investment Advisory firm - (10/28/2022 Approved)

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

North Carolina
(11/16/2022)

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

Series 63

Date: 6/21/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/14/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/22/2012

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC

CRD#: 323171 / SEC#: 801-126797

RIA

Registered Investment Advisory firm - (10/28/2022 Approved)

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Contact information

Main Address

1145 Executive Circle Suite C, Cary, NC 27511

Mailing Address

Phone number

(919) 851-5512

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HICKS & ASSOCIATES WEALTH MANAGEMENT ADV 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts	548
AUM (Assets Under Management)	$ 97,325,022

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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Advisor Monitoring

Firm Stability Insights

Paul Richards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Richards's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTHSHIELD PARTNERS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

EDWARD JONES

EDWARD JONES

METLIFE INVESTORS DISTRIBUTION COMPANY

NEWPORT GROUP SECURITIES, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/21/2012

SIE

Date: 10/1/2018

Series 7

Date: 11/14/2014

Series 6

Date: 3/22/2012

Current Firm

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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