Edward T. Hickes
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.
Edward Thomas Hickes, who also goes by Ted Hickes, Teddy Hickes, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2014. Edward had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2015 - June 29, 2017
VIRTU AMERICAS LLC
November 20, 2014 - April 23, 2015
THE STRATEGIC FINANCIAL ALLIANCE, INC.
October 1, 2014 - April 23, 2015
THE STRATEGIC FINANCIAL ALLIANCE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VIRTU AMERICAS LLC
CRD#: 149823 / SEC#: , 8-68193
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
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.
