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Brian K Hicks

Northwestern Mutual Investment Services, LLC

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About Brian K Hicks

Brian Hicks is a financial advisor registered with Northwestern Mutual Investment Services, LLC, and has been in the industry since 2002. Brian is based in Lakewood, CO and has a Series 7, Series 10, Series 9 and Series 63 license. Brian has previously worked with A. G. Edwards & Sons, Inc., U.S. GLOBAL BROKERAGE, INC., CHARLES SCHWAB & CO., INC., and BERGER DISTRIBUTORS, INC..

Firm Information

Brian Hicks is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Brian Hicks’s Registration & Firm History

CO

03/21/2017 - Present

Northwestern Mutual Investment Services, LLC (LAKEWOOD CO)

TX

09/12/2005 - 12/16/2008

U.S. GLOBAL BROKERAGE, INC. (SAN ANTONIO TX)

MO

06/07/2001 - 03/04/2004

A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)

TX

04/16/1999 - 04/26/2001

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

CO

04/21/1998 - 09/15/1998

BERGER DISTRIBUTORS, INC. (DENVER CO)

TX

12/12/1995 - 03/11/1998

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

TX

05/08/1992 - 11/06/1995

INVESCO FUNDS GROUP, INC. (HOUSTON TX)

CO

07/31/1991 - 10/21/1991

R A F FINANCIAL CORPORATION (DENVER CO)

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Licenses & Designations

BC

Issued 04/05/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/06/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/08/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/21/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brian K Hicks.
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