James R. Hicks
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.
James Robert Hicks was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1975. James had worked at 7 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2010 - November 18, 2014
TRINITY FINANCIAL SERVICES, INC.
May 26, 2010 - July 21, 2017
LPL FINANCIAL LLC
March 30, 2007 - December 31, 2008
LPL FINANCIAL LLC
March 15, 2002 - July 21, 2017
LPL FINANCIAL LLC
November 22, 1995 - March 15, 2002
VESTAX SECURITIES CORPORATION
August 1, 1989 - November 21, 1995
MARINER FINANCIAL SERVICES, INC.
June 23, 1986 - August 1, 1989
QUESTOR FINANCIAL SERVICES
November 23, 1982 - May 17, 1986
MARINER FINANCIAL SERVICES, INC.
June 20, 1980 - November 22, 1982
MUTUAL SERVICE CORPORATION
April 1, 1975 - September 20, 1980
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/27/1975
Registered Representative ExaminationCurrent Firm
TRINITY FINANCIAL SERVICES, INC.
CRD#: 151051 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 217 |
| AUM (Assets Under Management) | $ 79,190,000 |
Red Flags
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