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Stephen Peter Hickey

Pimco Investments LLC

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About Stephen Peter Hickey

Stephen Hickey is a financial professional with over 30 years of experience in the industry. Stephen has worked with several firms including Goldman Sachs, Donaldson, Lufkin & Jenrette Securities Corporation and most recently SPC Capital Markets LLC. Stephen joined Pimco Investments LLC in July 2022. Stephen is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7, 24, 63, 79TO, 99TO and SIE licenses. Stephen is registered to conduct business in 51 states.

Firm Information

Stephen Hickey is currently registered with Pimco Investments LLC. Pimco Investments LLC is a Limited Liability Company formed in 2010. The firm is registered to provide investment advisory services in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

290

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.

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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Stephen Hickey’s Registration & Firm History

NY

07/06/2022 - Present

Pimco Investments LLC (NEW YORK NY)

CT

03/12/2020 - 06/29/2022

SPC CAPITAL MARKETS LLC (Greenwich CT)

NY

11/13/2019 - 02/24/2020

PICKWICK CAPITAL PARTNERS, LLC (WHITE PLAINS NY)

NY

04/21/2016 - 12/11/2017

CVC FUNDING, LLC (NEW YORK NY)

NY

11/25/2013 - 04/22/2016

RESOURCE SECURITIES, INC. (NEW YORK NY)

NY

11/24/2000 - 01/27/2012

GOLDMAN, SACHS & CO. (NEW YORK NY)

NJ

05/23/1996 - 11/20/2000

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

NY

09/22/1987 - 06/19/1996

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/24/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/20/2000

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 12/11/2017

SIE - Securities Industry Essentials Examination

BC

Issued 09/19/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Peter Hickey.
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