Bruce 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.
Bruce Hicks, who also goes by Bruce R Hicks, Bruce Raymond Hicks, Chip Hicks, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1977. Bruce had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2013 - October 20, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 20, 2013 - October 20, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2013 - August 19, 2013
CETERA INVESTMENT SERVICES LLC
December 3, 2012 - August 19, 2013
CETERA INVESTMENT SERVICES LLC
May 10, 2010 - December 1, 2010
CETERA INVESTMENT SERVICES LLC
May 10, 2010 - December 1, 2010
CETERA INVESTMENT SERVICES LLC
November 16, 2007 - May 12, 2010
LPL FINANCIAL LLC
November 6, 2007 - May 12, 2010
LPL FINANCIAL LLC
August 3, 2005 - September 5, 2007
TRANSAMERICA CAPITAL, LLC
August 6, 2003 - August 3, 2005
GUARDIAN INVESTOR SERVICES LLC
March 30, 2000 - March 12, 2003
TRANSAMERICA CAPITAL, LLC
March 2, 1998 - April 15, 1998
RBC CAPITAL MARKETS, LLC
December 19, 1990 - March 2, 1998
DAIN RAUSCHER INCORPORATED
January 14, 1986 - December 21, 1987
LASALLE ST SECURITIES, L.L.C.
December 1, 1982 - November 25, 1983
LEHMAN BROTHERS INC.
July 31, 1981 - June 24, 1982
LEHMAN BROTHERS INC.
December 22, 1977 - June 23, 1981
BOETTCHER & COMPANY, INC.
September 23, 1977 - January 19, 1984
TRIPP & CO., INC.
July 3, 1977 - January 14, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
