Frank E. Hicks

BROOKSTONE WEALTH ADVISORS

Johns Creek, GA

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CRD#: 4958976

Professional summary

Frank E Hicks, who also goes by Buddy Hicks, Frank Edwin Hicks, is a registered financial advisor currently at BROOKSTONE WEALTH ADVISORS, LLC located in Johns Creek, Georgia.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Frank has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Buddy Hicks | Frank Edwin 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.

FRANK E HICKS REAL ESTATE CLOSER POSITION: Owner NATURE: Business Owner INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2016 ADDRESS: , Johns Creek, GA , United States DESCRIPTION: Owner Financial Independence Group POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 30 START DATE:01/31/2022 ADDRESS: , Johns Creek, GA , United States DESCRIPTION: Agent/Broker

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank E Hicks'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®

None

Experience

Current

April 26, 2022 - Present

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Johns Creek, GA

Past

December 18, 2020 - March 2, 2022

SOUTHPORT CAPITAL

RIA

CRD#: 113364

Atlanta, GA

Past

August 20, 2015 - November 13, 2020

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

Duluth, GA

Past

August 20, 2015 - November 13, 2020

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

Duluth, GA

Past

March 20, 2015 - August 12, 2015

OSAIC SERVICES, INC.

RIA

CRD#: 133763

MONTGOMERY, AL

Past

March 20, 2015 - August 12, 2015

OSAIC SERVICES, INC.

CRD#: 133763

MONTGOMERY, AL

Past

January 7, 2014 - March 9, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MONTGOMERY, AL

Past

November 25, 2013 - March 9, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MONTGOMERY, AL

Past

July 31, 2006 - September 21, 2009

COLONIAL BROKERAGE, INC.

CRD#: 111668

MONTGOMERY, AL

Past

June 15, 2005 - June 20, 2006

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

MONTGOMERY, AL

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".

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 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

Alabama
(4/26/2022)

IAR

Georgia
(4/26/2022)

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

IAR

Series 66

Date: 1/4/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/13/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/18/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/25/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/14/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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Contact information

Main Address

1745 S Naperville Rd Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

244

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWA ADV 2A (7/30/2025)

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

Frank E. Hicks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank E Hicks's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHPORT CAPITAL

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

COLONIAL BROKERAGE, INC.

AMSOUTH INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

BROOKSTONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/4/2014

Series 63

Date: 7/13/2005

Series 7TO

Date: 3/18/2024

SIE

Date: 10/1/2018

Series 7

Date: 11/25/2013

Series 6

Date: 6/14/2005

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

BROOKSTONE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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