Emily Winter Hicks

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2010 → 06/2019
  Unemployed
  Irvine, CA
• 07/2017 → 06/2021
  Uc Irvine
  Irvine, CA
• 08/2019 → 11/2019
  Uci Campus Recreation
  Irvine, CA
• 07/2020 → 07/2021
  Marco Rodriguez
  Elk Grove, CA
• 07/2021 → Present
  Principal Securities Inc
  Elk Grove, CA
• 10/2025 → Present
  Principal Life Insurance Co
  Elk Grove, CA

Other Businesses

INSURANCE POSITION: Insurance NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2026 ADDRESS: 9245 Laguna Springs Dr., Ste. 100, Elk Grove CA 95758, United States DESCRIPTION: Sales and service of fixed life, fixed annuities, DI, LTC, and group benefits.

Exams

• S66 Uniform Combined State Law Examination
  2023-11-21

Designations

• Certified Financial Planner

Other Names

• Emilly W Hicks
• Emily Winter Hicks
• Emilly Winter Hicks