DH
David M. Hicks
PETERSEN AND HICKS
Campbell, CA 95008
Some features on this profile are disabled
CRD#: 7330579
DH
Professional summary
David Michael Hicks, who also goes by Dave Hicks, is a registered financial advisor currently at PETERSEN AND HICKS located in Campbell, California.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. David has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Hicks
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) PETERSEN & HICKS: NON-CPA TAX PREPARATION AND PLANNING; 3/1/2020 TO PRESENT
CRS (Client Relationship Summary) - RIA
Click below to view David Michael Hicks'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
May 27, 2022 - Present
PETERSEN AND HICKS
Office #1: 1901 S. Bascom Ave, #1400, Campbell, CA 95008RIA
CRD#: 124568
Campbell, CA
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
California(5/27/2022)
Exams
Current Firm
PA
PETERSEN AND HICKS
PETERSEN & ASSOCIATES | PETERSEN, RONALD GREGORY | PETERSEN AND HICKS
CRD#: 124568 / SEC#:
California
Registered Investment Advisory firm - (1/20/1995 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
1901 S. Bascom Ave, #1400, Campbell, CA 95008
Mailing Address
Phone number
(408) 369-7390
Established
Firm type
Fiscal year end
# of Employees
2
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.
