TR
Thomas A. Ricks
SIMPLIFIED WEALTH MANAGEMENT
Hattiesburg, MS 39402
Some features on this profile are disabled
CRD#: 6244408
TR
Professional summary
Thomas Andrew Ricks, who also goes by Andy Ricks, is a registered financial advisor currently at SIMPLIFIED WEALTH MANAGEMENT located in Hattiesburg, Mississippi.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Thomas has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy Ricks
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) 12/28/2017 - Stellar Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 12/27/16 - 80 Hours Per Month During Trading. (2) 05/07/2020 - Simplified Business Solutions - not Investment Related - At Reported Business Location - Health Insurance - Start Date 05/07/2020 - 5 Hours Per Month During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Andrew Ricks's 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®
NoneExperience
Current
July 30, 2018 - Present
SIMPLIFIED WEALTH MANAGEMENT
Office #1: 14 Orleans Drive, Hattiesburg, MS 39402RIA
CRD#: 297059
Hattiesburg, MS
Past
July 23, 2018 - July 24, 2018
SIMPLIFIED WEALTH MANAGEMENT
RIA
CRD#: 297059
HATTIESBURG, MS
Past
January 4, 2016 - July 27, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
HATTIESBURG, MS
Past
January 4, 2016 - July 27, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
HATTIESBURG, MS
Past
January 22, 2015 - January 5, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
HATTIESBURG, MS
Past
September 29, 2014 - January 5, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
HATTIESBURG, MS
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".
SW
SIMPLIFIED WEALTH MANAGEMENT
CREEL WEALTH MANAGEMENT | SIMPLIFIED WEALTH MANAGEMENT, LLC | SIMPLIFIED WEALTH MANAGEMENT
CRD#: 297059 / SEC#: 801-123772
RIA
Registered Investment Advisory firm - (4/21/2022 Approved)Alabama
Registered Investment Advisory firm - (5/2/2022 Terminated)Florida
Registered Investment Advisory firm - (5/2/2022 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2022 Terminated)Louisiana
Registered Investment Advisory firm - (5/3/2022 Terminated)Mississippi
Registered Investment Advisory firm - (5/2/2022 Terminated)Texas
Registered Investment Advisory firm - (5/2/2022 Terminated)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
Louisiana(1/2/2019)
IAR
Mississippi(7/30/2018)
IAR
Texas(1/24/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SW
SIMPLIFIED WEALTH MANAGEMENT
CREEL WEALTH MANAGEMENT | SIMPLIFIED WEALTH MANAGEMENT, LLC | SIMPLIFIED WEALTH MANAGEMENT
CRD#: 297059 / SEC#: 801-123772
RIA
Registered Investment Advisory firm - (4/21/2022 Approved)Alabama
Registered Investment Advisory firm - (5/2/2022 Terminated)Florida
Registered Investment Advisory firm - (5/2/2022 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2022 Terminated)Louisiana
Registered Investment Advisory firm - (5/3/2022 Terminated)Mississippi
Registered Investment Advisory firm - (5/2/2022 Terminated)Texas
Registered Investment Advisory firm - (5/2/2022 Terminated)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
14 Orleans Drive, Hattiesburg, MS 39402
Mailing Address
Phone number
(601) 336-4265
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,451 |
| AUM (Assets Under Management) | $ 179,488,997 |
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.
