GH
Gregory R. Hicks
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Laguna Niguel, CA 92677
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CRD#: 4828097
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Professional summary
Gregory Reed Hicks, who also goes by Gregory Hicks, Greg Hicks, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Laguna Niguel, California and DUNCAN FINANCIAL PLANNING ADVISORS located in Murray, Utah.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Gregory has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gregory Hicks | Greg 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. UTAH KEY REAL ESTATE, 10459 1300 W #102, SOUTH JORDAN, UT, 02/04/2019. REAL ESTATE AGENT. NIR-2/WK-0/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 5/2016 AS ADVISORY REP OF A RIA. INV REL - 0 HRS. 05/12/16 3. DUNCAN FINANCIAL PLANNING ADVISORS, 311 MAIN STREET, IRWIN, PA, 12/08/20, INV REL, INVESTMENT ADVISOR, 6 HR/MO- 0/TRADING HR. 4. FOOTHILL FAMILY CLINIC, 2295 SOUTH FOOTHILL DRIVE, SALT LAKE CITY, UT, COVID-19 STUDY, 05/04/21, NIR, SUBJECT, 4 HR/YR- 0/TRADING HR. 5. GREG HICKS, 6050 S Wabash Circle, Murray UT 84123, 11/2021, OWNER, DOG BOARDING BUSINESS, NIR, 8 HR/MONTH 0 HR/MONTH TRADING 6. DUNCAN ADVISOR RESOURCES, Murray UT 84123, United States, 01/02/2020, W2 Employee, NIR, 160 HR/MO - 160 HR/MO TRADING 7. HIJINKS, 6050 S WABASH CIR, MURRAY UT 84123, 10/2023, OWNER OF RENTAL MANAGEMENT COMPANY, NIR, 10 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Reed 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
May 11, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 30011 Ivy Glenn Dr. Suite 115, Laguna Niguel, CA 92677RIA
CRD#: 134139
Laguna Niguel, CA
Current
December 17, 2020 - Present
DUNCAN FINANCIAL PLANNING ADVISORS
RIA
CRD#: 309454
Murray, UT
Current
May 11, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1509 N. El Camino Real Ste. 7, San Clemente, CA 92672BD
CRD#: 39543
San Clemente, CA
Past
November 13, 2013 - May 19, 2015
VERTICAL CAPITAL ASSET MANAGEMENT, LLC
RIA
CRD#: 158382
IRVINE, CA
Past
October 24, 2012 - May 19, 2015
VERTICAL CAPITAL SECURITIES, LLC
BD
CRD#: 154697
IRVINE, CA
Past
December 9, 2010 - October 10, 2012
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
AMERICAN FORK, UT
Past
March 9, 2005 - December 15, 2008
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
SALT LAKE CITY, UT
Past
November 23, 2004 - December 15, 2008
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
SALT LAKE CITY, UT
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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.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
California(5/11/2016)
RR
Florida(5/5/2025)
RR
Georgia(5/7/2020)
RR
Indiana(6/15/2023)
RR
Texas(5/17/2022)
IAR
Texas(5/18/2022)
RR
Utah(1/24/2019)
IAR
Utah(2/11/2019)
RR
Wyoming(1/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
