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William Anthony Hicks

Ubs Financial Services Inc.

Knoxville, TN

Pinetop, AZ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2014-01-14
TN RA APPROVED 2012-10-05
  • TX RA
    APPROVED_RES
    Since 2014-01-14
  • TN RA
    APPROVED
    Since 2012-10-05

Branch Locations

800 South Gay Street Suite 2600, Knoxville, TN 37929 • United States

Pinetop, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Knoxville TN 10/2012 Present
Previous Registrations
  • 2009-06-01 → 2013-01-16
    Morgan Stanley
    Knoxville, TN
  • 2008-03-11 → 2009-06-01
    Morgan Stanley & Co. Llc
    Knoxville, TN
  • 2004-01-27 → 2004-11-15
    Morgan Stanley Dw Inc.
    Knoxville, TN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-01-07
S65 Uniform Investment Adviser Law Examination 2003-04-29
S63 Uniform Securities Agent State Law Examination 2003-04-15
  • S66 Uniform Combined State Law Examination
    2008-01-07
  • S65 Uniform Investment Adviser Law Examination
    2003-04-29
  • S63 Uniform Securities Agent State Law Examination
    2003-04-15
Other Names
  • Billy Anthony Hicks
  • William Hicks
  • William Anthony Hicks

View on SEC IAPD

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Other Offices

STRATEGIC ADVISERS LLC · KNOXVILLE, TN
RAYMOND JAMES & ASSOCIATES, INC. · KNOXVILLE, TN
EDWARD JONES · FARRAGUT, TN
FIFTH THIRD SECURITIES, INC. · KNOXVILLE, TN
STATE FARM INVESTMENT MANAGEMENT CORP. · Farragut, TN
TRUIST ADVISORY SERVICES, INC. · KNOXVILLE, TN
PFS INVESTMENTS INC. · KNOXVILLE, TN
EDWARD JONES · KNOXVILLE, TN

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