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Douglas James Hicks

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Saint Petersburg, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2017-02-27
TX RA APPROVED 2017-02-24
  • FL RA
    APPROVED
    Since 2017-02-27
  • TX RA
    APPROVED
    Since 2017-02-24

Branch Locations

200 Central Ave, Saint Petersburg, FL 33701 • 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
Morgan Stanley & Co., Incorporated St. Petersburg FL 04/2007 02/2017
Morgan Stanley Smith Barney St. Petersburg FL 06/2009 02/2017
Morgan Stanley Private Bank, National Association New York NY 01/2015 02/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Saint Petersburg FL 02/2017 Present
Bank Of America, N.A. Saint Petersburg FL 03/2017 Present
  • 04/2007 → 02/2017
    Morgan Stanley & Co., Incorporated
    St. Petersburg, FL
  • 06/2009 → 02/2017
    Morgan Stanley Smith Barney
    St. Petersburg, FL
  • 01/2015 → 02/2017
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 02/2017 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Saint Petersburg, FL
  • 03/2017 → Present
    Bank Of America, N.A.
    Saint Petersburg, FL
Previous Registrations
  • 2009-06-01 → 2017-02-27
    Morgan Stanley
    St. Petersburg, FL
    St. Petersburg, FL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    St. Petersburg, FL
  • 1993-02-25 → 2007-04-02
    Morgan Stanley Dw Inc.
    St. Petersburg, FL
    Bradenton, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-28
S63 Uniform Securities Agent State Law Examination 1993-02-23
  • S65 Uniform Investment Adviser Law Examination
    1999-09-28
  • S63 Uniform Securities Agent State Law Examination
    1993-02-23

View on SEC IAPD

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