Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas James Hicks is an active advisor registered in Florida and Texas with Merrill Lynch, Pierce, Fenner & Smith Inc. Douglas has a broad range of experience in the financial industry, with over 30 years of experience. Douglas has held previous roles at Morgan Stanley, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Douglas specializes in portfolio management for businesses and individuals.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
02/24/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAINT PETERSBURG FL)
FL
06/01/2009 - 02/27/2017
MORGAN STANLEY (ST. PETERSBURG FL)
FL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ST. PETERSBURG FL)
FL
02/19/1993 - 04/02/2007
MORGAN STANLEY DW INC. (ST. PETERSBURG FL)
IA
Issued 09/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/23/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/08/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/2001
Series 3 - National Commodity Futures Examination
BC
Issued 04/26/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 02/17/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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