Hayden R. Hicks

UWHARRIE INVESTMENT ADVISORS

Albemarle, NC 28001

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CRD#: 7803850

Professional summary

Hayden Reece Hicks, who also goes by Hayden Hicks, is a registered financial advisor currently at UWHARRIE INVESTMENT ADVISORS, INC. located in Albemarle, North Carolina and PRIVATE CLIENT SERVICES, LLC located in Albemarle, North Carolina.

Hayden is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Hayden has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hayden 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) Uwharrie Investment Advisors. 132 N First Street, Albemarle, NC 28001. RIA. 160 hrs/mo; 160 during trading hrs. 2) Town of Denton Board of Commissioners. 201 W Salisbury Street, Denton, NC 27239. Board of Commissioners. One of 5 elected members of the board. 8 hrs/mo; 0 during trading hrs. Not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hayden Reece 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

November 5, 2024 - Present

UWHARRIE INVESTMENT ADVISORS, INC.

Office #1: 132 North First Street, Albemarle, NC 28001

RIA

CRD#: 117592

Albemarle, NC

Current

November 5, 2024 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 132 N. First St, Albemarle, NC 28001

RIA

CRD#: 120222

Albemarle, NC

Past

March 26, 2024 - September 17, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

High Point, NC

Past

September 25, 2023 - September 17, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

High Point, NC

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".

UWHARRIE INVESTMENT ADVISORS, INC.

STRATEGIC INVESTMENT ADVISORS, INC. | UWHARRIE INVESTMENT ADVISORS, INC. | UWHARRE INVESTMENT ADVISORS, INC.

CRD#: 117592 / SEC#: 801-63767

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

North Carolina

Registered Investment Advisory firm - (2/2/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

North Carolina
(11/5/2024)

IAR

North Carolina
(11/5/2024)

South Carolina
(11/5/2024)

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: 12/16/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/25/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/16/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

UWHARRIE INVESTMENT ADVISORS, INC.

STRATEGIC INVESTMENT ADVISORS, INC. | UWHARRIE INVESTMENT ADVISORS, INC. | UWHARRE INVESTMENT ADVISORS, INC.

CRD#: 117592 / SEC#: 801-63767

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

North Carolina

Registered Investment Advisory firm - (2/2/2005 Terminated)

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Contact information

Main Address

132 North First Street, Albemarle, NC 28001

Mailing Address

P.o. Box 1517, Albemarle, NC 28002

Phone number

(704) 983-5959

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A WRAP BROCHURE (4/23/2025)

PART 2A BROCHURE (4/23/2025)

Regulatory assets under management

Total Number of Accounts	811
AUM (Assets Under Management)	$ 278,247,352

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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Firm Stability Insights

Hayden R. Hicks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hayden Reece Hicks's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

UWHARRIE INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/16/2023

Series 7TO

Date: 9/25/2023

SIE

Date: 8/16/2023

FINRA

Current Firm

UWHARRIE INVESTMENT ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UWHARRIE INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

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