Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Douglas Hicks is a financial advisor with over 20 years of experience in the industry. William has been registered with Wells Fargo Clearing Services, LLC since May 2023. Prior to that, William was a registered representative with J.P. Morgan Securities LLC, Ameriprise Financial Services, Inc., Cetera Investment Services LLC, LPL Financial LLC, UVEST Financial Services Group, Inc., Investment Professionals, Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., DFC Investor Services, and Edward Jones. William is licensed to offer securities and investment advice in Colorado, Florida, Georgia, Louisiana, Ohio, Oklahoma, Tennessee, and Texas. William is also a registered investment advisor in Texas. William specializes in retirement planning, college savings, and estate planning.
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.
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.
Investment consulting services to institutional clients
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.
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2
TX
05/19/2023 - Present
Wells Fargo Clearing Services, LLC (HOUSTON TX)
TX
07/15/2016 - 05/19/2023
J.P. MORGAN SECURITIES LLC (SPRING TX)
TX
12/05/2014 - 07/26/2016
AMERIPRISE FINANCIAL SERVICES, INC. (MAGNOLIA TX)
TX
04/22/2014 - 11/20/2014
CETERA INVESTMENT SERVICES LLC (THE WOODLANDS TX)
TX
07/05/2011 - 04/24/2014
LPL FINANCIAL LLC (HOUSTON TX)
TX
06/01/2009 - 07/05/2011
UVEST FINANCIAL SERVICES GROUP, INC. (MAGNOLIA TX)
TX
05/30/2007 - 06/08/2009
INVESTMENT PROFESSIONALS, INC. (BRYAN TX)
TX
05/22/2007 - 05/31/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (THE WOODLANDS TX)
TX
03/31/2005 - 05/23/2007
DFC INVESTOR SERVICES (WALLER TX)
MO
09/05/2001 - 03/22/2005
EDWARD JONES (ST. LOUIS MO)
IA
Issued 07/24/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/07/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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