Robert A. Hicks

SPIDERROCK ADVISORS

Palm Beach Gardens, FL

Some features on this profile are disabled

CRD#: 5692213

Professional summary

Robert Andrew Hicks is a registered financial advisor currently at SPIDERROCK ADVISORS, LLC located in Palm Beach Gardens, Florida and BLACKROCK INVESTMENTS, LLC located in Princeton, New Jersey.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Robert has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Robert Andrew 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

October 16, 2025 - Present

SPIDERROCK ADVISORS, LLC

RIA

CRD#: 171992

Palm Beach Gardens, FL

Current

January 6, 2025 - Present

BLACKROCK INVESTMENTS, LLC

Office #1: 1 University Square Dr, Princeton, NJ 08540

CRD#: 38642

Princeton, NJ

Past

April 16, 2025 - October 16, 2025

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

MIAMI, FL

Past

September 24, 2015 - November 8, 2018

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

Darien, CT

Past

April 10, 2012 - November 19, 2015

VLS SECURITIES LLC

CRD#: 151145

DARIEN, CT

Past

June 15, 2011 - January 30, 2012

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 22, 2009 - March 2, 2010

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

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".

SPIDERROCK ADVISORS, LLC

CRD#: 171992 / SEC#: 801-80178

RIA

Registered Investment Advisory firm - (8/20/2014 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.

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

Alabama
(5/8/2025)

Alaska
(5/8/2025)

Arizona
(5/8/2025)

Arkansas
(5/8/2025)

California
(5/8/2025)

Colorado
(5/8/2025)

Connecticut
(5/8/2025)

Delaware
(5/8/2025)

District of Columbia
(5/8/2025)

Florida
(1/7/2025)

Georgia
(5/8/2025)

Hawaii
(5/8/2025)

Idaho
(5/8/2025)

Illinois
(5/8/2025)

IAR

Illinois
(10/16/2025)

Indiana
(5/8/2025)

Iowa
(5/8/2025)

Kansas
(5/8/2025)

Kentucky
(5/8/2025)

Louisiana
(5/8/2025)

Maine
(5/8/2025)

Maryland
(5/8/2025)

Massachusetts
(5/8/2025)

Michigan
(5/8/2025)

Minnesota
(5/8/2025)

Mississippi
(5/8/2025)

Missouri
(5/8/2025)

Montana
(5/8/2025)

Nebraska
(5/8/2025)

Nevada
(5/8/2025)

New Hampshire
(5/8/2025)

New Jersey
(5/8/2025)

New Mexico
(5/8/2025)

New York
(5/8/2025)

North Carolina
(5/8/2025)

North Dakota
(5/8/2025)

Ohio
(5/9/2025)

Oklahoma
(5/8/2025)

Oregon
(5/8/2025)

Pennsylvania
(5/8/2025)

Puerto Rico
(5/8/2025)

Rhode Island
(5/8/2025)

South Carolina
(5/8/2025)

South Dakota
(5/8/2025)

Tennessee
(5/8/2025)

Texas
(5/8/2025)

Utah
(5/8/2025)

Vermont
(5/8/2025)

Virgin Islands
(5/8/2025)

Virginia
(5/8/2025)

Washington
(5/8/2025)

West Virginia
(5/8/2025)

Wisconsin
(5/8/2025)

Wyoming
(5/8/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/8/2025

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/24/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/6/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/6/2025

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/12/2024

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/21/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SPIDERROCK ADVISORS, LLC

CRD#: 171992 / SEC#: 801-80178

RIA

Registered Investment Advisory firm - (8/20/2014 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

227 West Monroe Suite 4300, Chicago, IL 60606

Mailing Address

Phone number

(312) 847-0300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPIDERROCK ADVISORS FORM ADV PART 2A (1/2/2026)

Regulatory assets under management

Total Number of Accounts	3,050
AUM (Assets Under Management)	$ 5,979,259,343

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert A. Hicks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Andrew Hicks's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACKROCK INVESTMENTS, LLC

BLACKROCK INVESTMENT MANAGEMENT, LLC

JANUS HENDERSON DISTRIBUTORS US LLC

VLS SECURITIES LLC

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

SPIDERROCK ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/8/2025

Series 63

Date: 9/24/2009

Series 7TO

Date: 1/6/2025

SIE

Date: 1/6/2025

Series 3

Date: 4/12/2024

Series 7

Date: 9/21/2009

FINRA

Current Firm

SPIDERROCK ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPIDERROCK ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors