Frank E Hicks

Current Employers

Brookstone Wealth Advisors, Llc

1745 S Naperville Rd Suite 200, Wheaton, IL 60189 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2026-07-15
AL	RA	APPROVED	2022-04-26
GA	RA	APPROVED	2022-04-26

NC RA
APPROVED

Since 2026-07-15
AL RA
APPROVED

Since 2022-04-26
GA RA
APPROVED

Since 2022-04-26

Branch Locations

Rolesville, NC • United States

1745 S Naperville Rd Suite 200, Wheaton, IL 60189 • 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Minnesota Life Ins Co	St Paul	MN	08/2015	11/2020
Securian Financial Services, Inc	St Paul	MN	08/2015	11/2020
Wealth Management Group	Birmingham	AL	12/2015	07/2020
Providential Wealth	Duluth	GA	07/2020	11/2020
Southport Capital	Chattanooga	TN	11/2020	02/2022
Brookstone Wealth Advisors	Wheaton	IL	04/2022	Present

08/2015 → 11/2020

Minnesota Life Ins Co

St Paul, MN
08/2015 → 11/2020

Securian Financial Services, Inc

St Paul, MN
12/2015 → 07/2020

Wealth Management Group

Birmingham, AL
07/2020 → 11/2020

Providential Wealth

Duluth, GA
11/2020 → 02/2022

Southport Capital

Chattanooga, TN
04/2022 → Present

Brookstone Wealth Advisors

Wheaton, IL

Previous Registrations

2020-12-18 → 2022-03-02

Southport Capital

Atlanta, GA
2015-08-20 → 2020-11-13

Securian Financial Services, Inc.

Birmingham, AL

Sugar Hill, GA

Atlanta, GA

Birmingham, AL

Hoschton, GA
2015-03-20 → 2015-08-12

Osaic Services, Inc.

Montgomery, AL
2014-01-07 → 2015-03-09

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Montgomery, AL

Other Businesses

FRANK E HICKS REAL ESTATE CLOSER POSITION: Owner NATURE: Business Owner INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2016 ADDRESS: , Johns Creek, GA , United States DESCRIPTION: Owner Financial Independence Group POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 30 START DATE:01/31/2022 ADDRESS: , Johns Creek, GA , United States DESCRIPTION: Agent/Broker

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-01-04
S63	Uniform Securities Agent State Law Examination	2005-07-13

S66 Uniform Combined State Law Examination

2014-01-04
S63 Uniform Securities Agent State Law Examination

2005-07-13

Other Names

Buddy Hicks
Buddy Hicks
Frank Edwin Hicks

View on SEC IAPD