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Paul Richards

Hicks & Associates Wealth Management, LLC

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About Paul Richards

Paul Richards is a financial advisor based in Fletcher, North Carolina. Paul has over 10 years of experience in the financial services industry. Paul is a Certified Financial Planner and holds the Series 6, 7, and 63 licenses. Paul currently works at Hicks & Associates Wealth Management, LLC. Paul has previously worked at Ameriprise Financial Services, LLC, Edward Jones, Metlife Investors Distribution Company, Newport Group Securities, Inc., and Vanguard Marketing Corporation.

Firm Information

Paul Richards is currently registered with Hicks & Associates Wealth Management, LLC. Hicks & Associates Wealth Management, LLC is an investment advisor headquartered in Cary, NC. They provide financial planning and portfolio management services for individuals, businesses, and high-net-worth individuals. Their website addresses are: https://hicks-associates.com/, http://YouTube.com/@Hicks-Associates, https://twitter.com/hicks_associate, and https://www.facebook.com/TheodoreHicksAssociates/. They have 2 investment advisor representatives and 3 investment advisory functions. They manage $123,957,580 in regulatory assets under management for 881 accounts. They do not participate in wrap fee programs. Their SEC number is 801-126797.
Hicks & Associates Wealth Management, LLC

1145 EXECUTIVE CIRCLE

CARY, NC 27511

$123.96M

Assets Under Management

Not reported

Total Clients

2

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Paul Richards’s Registration & Firm History

NC

11/16/2022 - Present

Hicks & Associates Wealth Management, LLC (Fletcher NC)

NC

02/28/2020 - 10/12/2020

AMERIPRISE FINANCIAL SERVICES, LLC (CARY NC)

NC

11/28/2016 - 03/03/2020

EDWARD JONES (CHARLOTTE NC)

NC

08/07/2013 - 11/10/2016

METLIFE INVESTORS DISTRIBUTION COMPANY (CHARLOTTE NC)

NC

03/23/2012 - 07/25/2013

NEWPORT GROUP SECURITIES, INC. (CHARLOTTE NC)

PA

07/09/2002 - 03/12/2004

VANGUARD MARKETING CORPORATION (MALVERN PA)

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Licenses & Designations

BC

Issued 06/21/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/14/2014

Series 7 - General Securities Representative Examination

BC

Issued 03/22/2012

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Paul Richards.
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