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4200 Regent Street, Suite 200, Columbus, OH 43219 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2013-05-28 |
Branch Locations
4200 Regent Street, Suite 200, Columbus, OH 43219 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Purshe Kaplan Sterling Investments | Albany | NY | 04/2013 | Present |
| Hicks Capital Management, Llc | Columbus | OH | 04/2013 | Present |
1)SINCE 7/23/2013, I HAVE PERSONAL REAL ESTATE LEASED TO ANTERO RESOURCES. THE PROPERTY IS LOCATED AT TR 151, MOUNT EPHRAIM, OH. THE NATURE OF THE BUSINESS IS NON INVESTMENT RELATED AND INVOLVES REAL ESTATE LEASED FOR OIL AND GAS EXPLORATION. THE JASON MOORE AND VICKI MOORE FAMILY TRUST, OF WHICH I AM A TRUSTEE, HAS LEASED THE LAND AND WILL RECEIVE ROYALTIES ON ANY PRODUCTION. I SPEND APPROXIMATELY 0.5 HOURS PER MONTH DEVOTED TO THIS BUSINESS, NONE OF THE TIME DURING SECURITY TRADING HOURS. 2)HICKS CAPITAL MANAGEMENT, LLC. RIA. INVESTMENT RELATED. 4200 REGENT STREET STE 200, COLUMBUS, OH 43219. PRIVATE WEALTH ADVISOR. 180 HRS/MO. FINANCIAL PLANNING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-05 |
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