George M. Hricik

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CRD#: 4851429

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

George Martin Hricik JR, who also goes by George Martin Hricik, George Marty Hricik, Marty Hricik, was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 2005. George had worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

George Martin Hricik | George Marty Hricik | Marty Hricik

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 17, 2009 - November 17, 2014

REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.

RIA

CRD#: 113181

HOUSTON, TX

Past

April 12, 2007 - July 16, 2009

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

HOUSTON, TX

Past

February 28, 2007 - July 15, 2009

NYLIFE SECURITIES LLC

CRD#: 5167

HOUSTON, TX

Past

March 15, 2005 - January 25, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HOUSTON, TX

Past

March 14, 2005 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 14, 2005 - January 25, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HOUSTON, TX

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".

REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.

REGATTA RESEARCH & MONEY MANAGEMENT L.L.C. | YOUR FINANCIAL COACHES

CRD#: 113181 / SEC#: 801-60383

RIA

Registered Investment Advisory firm - (7/3/2001 Approved)

Louisiana

Registered Investment Advisory firm - (7/3/2001 Cancelled)

New York

Registered Investment Advisory firm - (4/20/2007 Cancelled)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 66

Date: 3/14/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/11/2005

General Securities Representative Examination

Current Firm

REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.

REGATTA RESEARCH & MONEY MANAGEMENT L.L.C. | YOUR FINANCIAL COACHES

CRD#: 113181 / SEC#: 801-60383

RIA

Registered Investment Advisory firm - (7/3/2001 Approved)

Louisiana

Registered Investment Advisory firm - (7/3/2001 Cancelled)

New York

Registered Investment Advisory firm - (4/20/2007 Cancelled)

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Contact information

Main Address

6620 Riverside Drive Suite 207, Metairie, LA 70003

Mailing Address

17425 Jefferson Hwy Ste C, Baton Rouge, LA 70817

Phone number

(504) 831-4636

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 PLAIN ENGLISH (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,399
AUM (Assets Under Management)	$ 188,472,996

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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George M. Hricik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/14/2005

Series 7

Date: 3/11/2005

Current Firm

REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.

TRUST BUT VERIFY

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