Morgan B. Hicks

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CRD#: 5979487

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.

Morgan Bethany Hicks was a registered financial professional .

Morgan is a previously registered financial professional and started their career in finance in 2012. Morgan had worked at 1 firm and has passed the Series 11 exam.

Question & Answer

Are you a "fiduciary"?

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)

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

January 23, 2012 - November 14, 2013

CULLEN INVESTMENT GROUP, LTD.

CRD#: 18266

LAFAYETTE, LA

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".

CULLEN INVESTMENT GROUP, LTD.

CRD#: 18266 / SEC#: 801-61265, 8-36372

RIA

Registered Investment Advisory firm - SEC (7/9/2002 Approved)

Terminated by SEC on 12/14/2024

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

General Industry/Product Exam

Series 11

Date: 1/20/2012

Assistant Representative-Order Processing Qualification Exam

Current Firm

CULLEN INVESTMENT GROUP, LTD.

CRD#: 18266 / SEC#: 801-61265, 8-36372

RIA

Registered Investment Advisory firm - SEC (7/9/2002 Approved)

Terminated by SEC on 12/14/2024

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Contact information

Main Address

1404 S. College Rd., Lafayette, LA 70503

Mailing Address

P.o. Box 53669, Lafayette, LA 70505-3669

Phone number

(337) 237-8000

Established

Louisiana since 10/15/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CULLEN INVESTMENT GROUP - DISCLOSURE BROCHURE (FORM ADV PART 2A) (1/14/2025)

Direct owners and executive officers

Name	Position	CRD#
BORDES, DAVID CULLEN	PRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, SUPERVISORY PRINCIPAL OF BRANCH OFFICES	817884
NICKEL, STEPHEN LLOYD	VICE PRESIDENT AND DIRECT OWNER	4305828

Regulatory assets under management

Total Number of Accounts	1,424
AUM (Assets Under Management)	$ 795,470,355

Disclosures

Regulatory Event

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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Morgan B. Hicks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CULLEN INVESTMENT GROUP, LTD.

Primary Firm SEC Registration

CULLEN INVESTMENT GROUP, LTD.

State Registrations and Notice Filings

Exams

Series 11

Date: 1/20/2012

Current Firm

CULLEN INVESTMENT GROUP, LTD.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CULLEN INVESTMENT GROUP, LTD.

TRUST BUT VERIFY

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