Kenneth L. Hickey
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.
Kenneth Lee Hickey, CFP® was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1978. Kenneth had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1987
Experience
November 1, 2021 - December 31, 2022
AMERITAS ADVISORY SERVICES, LLC
September 30, 2004 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
October 31, 2003 - December 31, 2022
AMERITAS INVESTMENT COMPANY, LLC
July 8, 1997 - September 30, 2004
THE ADVISORS GROUP, INC.
April 16, 1990 - October 31, 2003
THE ADVISORS GROUP, INC.
December 2, 1986 - April 18, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
September 18, 1978 - November 17, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
September 18, 1978 - November 20, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
September 18, 1978 - November 20, 1986
IDS LIFE INSURANCE COMPANY
April 11, 1978 - October 17, 1978
SOUTHMARK FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
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: 4/6/1978
Registered Representative ExaminationCurrent Firm
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 41,501 |
| AUM (Assets Under Management) | $ 11,506,548,514 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 07/23/2024 | ||
| 07/27/2023 |
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.
