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William Douglas Hicks

Wells Fargo Clearing Services, LLC

Cypress, TX

Houston, TX

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-05-19
  • TX RA
    APPROVED
    Since 2023-05-19

Branch Locations

13150 Louetta Rd, Cypress, TX 77429 • United States

1000 Louisiana St 7Th Fl [Tn/Td-Rbo], Houston, TX 77002 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Jp Morgan Securities Llc Cypress TX 07/2016 05/2023
Wells Fargo Clearing Services, Llc Houston TX 05/2023 Present
Previous Registrations
  • 2016-07-15 → 2023-05-19
    J.P. Morgan Securities Llc
    Houston, TX
    Spring, TX
    Cypress, TX
    Houston, TX
    Spring, TX
    Houston, TX
    Spring, TX
  • 2014-12-05 → 2016-07-26
    Ameriprise Financial Services, Llc
    Magnolia, TX
  • 2014-04-22 → 2014-11-20
    Cetera Investment Advisers Llc
    The Woodlands, TX
  • 2011-07-05 → 2014-04-24
    Lpl Financial Llc
    Houston, TX
    Houston, TX
    Houston, TX
    Beaumont, TX
    Houston, TX
    Houston, TX
    Cypress, TX
    Houston, TX
    Houston, TX
    Cypress, TX
    Sugar Land, TX
    Houston, TX
    Groves, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Katy, TX
    Houston, TX
    Magnolia, TX
    Houston, TX
    Houston, TX
    Mont Belvieu, TX
    Nederland, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Pearland, TX
    Tomball, TX
    Houston, TX
    Houston, TX
    Winnie, TX
    Houston, TX
    Houston, TX
  • 2009-06-01 → 2011-07-05
    Uvest Financial Services Group, Inc.
    Magnolia, TX
    Charlotte, NC
    Bryan, TX
    Tomball, TX
  • 2007-05-30 → 2009-06-08
    Investment Professionals, Inc.
    Magnolia, TX
    San Antonio, TX
    Bryan, TX
  • 2007-05-22 → 2007-05-31
    Banc Of America Investment Services, Inc.
    The Woodlands, TX
  • 2006-07-25 → 2007-05-23
    Dfc Investor Services
    Waller, TX
    La Grange, TX
    La Grange, TX
Other Businesses

RENTAL PROPERTY; INV. RELATED; LIVINGSTON, TX; 10% OWNERSHIP; SCENIC LOOP LAKE CABINS; START DATE 10/7/2024; 1 HR PER MONTH; 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-07-24
S63 Uniform Securities Agent State Law Examination 2001-09-07
  • S65 Uniform Investment Adviser Law Examination
    2006-07-24
  • S63 Uniform Securities Agent State Law Examination
    2001-09-07
Other Names
  • William Hicks
  • Doug Hicks

View on SEC IAPD

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Other Offices

REDFISH CAPITAL · CYPRESS, TX
EDWARD JONES · Cypress, TX
VOYA FINANCIAL ADVISORS, INC. · Cypress, TX
WELLS FARGO CLEARING SERVICES, LLC · CYPRESS, TX
KESTRA ADVISORY SERVICES, LLC · Cypress, TX
ECKUITY LLC · CYPRESS, TX
EDWARD JONES · CYPRESS, TX
EDWARD JONES · CYPRESS, TX

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