Tadd Duane Hicks

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 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

• 05/1992 → 09/2016
  Ubs Financial Services Inc.
  Chesterfield, MO
• 09/2016 → Present
  Raymond James And Associates
  St Louis, MO

Previous Registrations

• 1995-07-17 → 2016-10-04
  Ubs Financial Services Inc.
  Chesterfield, MO
  Chesterfield, MO

Other Businesses

(1)Name of Business: Address: 2610 Bopp, St. Louis, MO, 63131, United States Activity Type: Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 11/13/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: owner of property. Father collects rent and makes repairs. I pay taxes once a year. (2)Name of Business: rental property at 3 Redbud in Warrenton MO Address: 2610 Bopp road, St Louis, MO, 63131, United States Activity Type: Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 11/13/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: owner of property.. I collect rent and makes repairs. I pay taxes once a year. (3)Name of Business: Warren County Bancshares or The Missouri Bank Address: Main Street, Warrenton, MO, 63383, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Director Investment Related: No Start Date: 10/01/1983 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: My family has owned the bank for over thirty five years. I have been on the board of directors for about twenty years. I fully disclosed this holding and activity to RJ upon my hire five years ago. (4)Name of Business: Warren County Bankshares or The Missouri Bank Address: 104 N Hwy 47, Warrenton, MO, 63383, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Director Investment Related: No Start Date: 10/01/1983 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Board of Director member for 20 years

Exams

• S63 Uniform Securities Agent State Law Examination
  1992-11-06
• S65 Uniform Investment Adviser Law Examination
  1992-11-06

Designations

• Certified Financial Planner

Other Names

• Tadd D Hicks
• Tadd Duane Hicks
• Tadd Duane Hicks