David J. Fiest

HICKS CAPITAL MANAGEMENT

Columbus, OH 43219

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CRD#: 4989913

Professional summary

David John Fiest, who also goes by David Fiest, is a registered financial advisor currently at HICKS CAPITAL MANAGEMENT, LLC located in Columbus, Ohio.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. David has worked at 4 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Fiest

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. David Fiest-Not investment related-7326 State Route 19, Unit 2204, Mount Gilead, OH 43338-IT Consulting-Owner-2/2011-0 hours during trading hours-IT consulting 2. Lifewise Academy-Not investment related-5375 Grace St, Hilliard OH 43026-Board member-02/2022-0 hours during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David John Fiest'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

November 16, 2016 - Present

HICKS CAPITAL MANAGEMENT, LLC

Office #1: 4200 Regent Street, Suite 200, Columbus, OH 43219

RIA

CRD#: 158609

Columbus, OH

Past

March 6, 2009 - January 21, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW ALBANY, OH

Past

March 3, 2009 - January 21, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW ALBANY, OH

Past

October 27, 2006 - December 20, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

COLUMBUS, OH

Past

October 26, 2006 - December 20, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

COLUMBUS, OH

Past

October 20, 2005 - October 31, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

NEW ALBANY, OH

Past

September 2, 2005 - October 31, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

NEW ALBANY, OH

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 CAPITAL MANAGEMENT, LLC

HICKS CAPITAL MANAGEMENT, LLC | HOCKING CAPITAL MANAGEMENT, LLC

CRD#: 158609 / SEC#: 801-113560

RIA

Registered Investment Advisory firm - (7/20/2018 Approved)

Florida

Registered Investment Advisory firm - (7/23/2018 Terminated)

Louisiana

Registered Investment Advisory firm - (7/23/2018 Terminated)

Ohio

Registered Investment Advisory firm - (7/23/2018 Terminated)

Texas

Registered Investment Advisory firm - (7/23/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Ohio
(11/16/2016)

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: 10/18/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 9/21/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/1/2005

General Securities Representative Examination

Current Firm

HICKS CAPITAL MANAGEMENT, LLC

HICKS CAPITAL MANAGEMENT, LLC | HOCKING CAPITAL MANAGEMENT, LLC

CRD#: 158609 / SEC#: 801-113560

RIA

Registered Investment Advisory firm - (7/20/2018 Approved)

Florida

Registered Investment Advisory firm - (7/23/2018 Terminated)

Louisiana

Registered Investment Advisory firm - (7/23/2018 Terminated)

Ohio

Registered Investment Advisory firm - (7/23/2018 Terminated)

Texas

Registered Investment Advisory firm - (7/23/2018 Terminated)

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Contact information

Main Address

4200 Regent Street, Suite 200, Columbus, OH 43219

Mailing Address

Phone number

(614) 944-5210

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts	978
AUM (Assets Under Management)	$ 297,132,000

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

David J. Fiest

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David John Fiest's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

HICKS CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/18/2005

Series 31

Date: 9/21/2005

Series 7

Date: 9/1/2005

Current Firm

HICKS CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HICKS CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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