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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ransom Hicks is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. James has been in the industry since 1996 and has been with Merrill Lynch since 2013. James has held previous positions at Vanguard Marketing Corporation, NationsSecurities, Dean Witter Reynolds Inc., and The Stuart-James Company, Incorporated. James is registered with the state of California and Texas. James is a registered principal and has passed Series 7, 10, 9, 24, 63, and 66 exams. James also holds a Series 3 exam.
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
NY
08/29/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
AZ
05/16/1996 - 07/16/2008
VANGUARD MARKETING CORPORATION (SCOTTSDALE AZ)
NA
07/06/1993 - 06/02/1995
NATIONSSECURITIES
NY
01/11/1991 - 07/06/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
CO
08/02/1990 - 10/25/1990
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
BOTH
Issued 08/28/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/10/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/08/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/07/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/04/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/31/2013
Series 7 - General Securities Representative Examination
BC
Issued 04/16/1991
Series 3 - National Commodity Futures 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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