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James Brian Hickman

Oakleaf Asset Advisors

Paso Robles, CA

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Current Employers
Oakleaf Asset Advisors

Paso Robles, CA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2010-04-20
  • CA RA
    APPROVED
    Since 2010-04-20

Branch Locations

Paso Robles, CA • 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
Oakleaf Asset Advisors Clovis CA 04/2010 Present
Previous Registrations
  • 2007-01-08 → 2010-05-06
    Mark Capital Management Inc
    Fresno, CA
  • 1999-01-25 → 2007-01-05
    Charles Schwab & Co., Inc.
    Fresno, CA
    Fresno, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-06
S63 Uniform Securities Agent State Law Examination 1993-05-07
  • S65 Uniform Investment Adviser Law Examination
    1998-11-06
  • S63 Uniform Securities Agent State Law Examination
    1993-05-07

View on SEC IAPD

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