Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Anthony Hicks is a registered representative with UBS Financial Services Inc. William Hicks has been working in the financial industry since June 9, 2006. William Hicks has a Series 63, 65, 66, 7, 31, and SIE. William Hicks has held previous positions at MORGAN STANLEY, MORGAN STANLEY & CO. INCORPORATED, RAYMOND JAMES FINANCIAL SERVICES, INC., and MORGAN STANLEY DW INC.. William Hicks currently works out of the UBS Financial Services Inc. office located in Knoxville, TN.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
See schedule d - miscellaneous
1
2
TN
01/14/2014 - Present
UBS Financial Services Inc. (KNOXVILLE TN)
TN
06/01/2009 - 01/16/2013
MORGAN STANLEY (KNOXVILLE TN)
TN
03/11/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (KNOXVILLE TN)
CA
02/13/2008 - 03/13/2008
RAYMOND JAMES FINANCIAL SERVICES, INC. (CORONADO CA)
NY
03/13/2003 - 11/15/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 01/07/2008
Series 66 - Uniform Combined State Law Examination
IA
Issued 04/29/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/15/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 02/12/2008
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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