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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-06-20
VA RA APPROVED 2013-12-17
  • TX RA
    APPROVED_RES
    Since 2018-06-20
  • VA RA
    APPROVED
    Since 2013-12-17

Branch Locations

8444 Westpark Dr Suite 900, Mclean, VA 22102 • United States

Vienna, VA • 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
Massmutual Life Insurance Co Mclean VA 07/2013 Present
Mml Investors Services, Llc Mclean VA 09/2013 Present
Legalshield Falls Church VA 03/2013 01/2017
Alpha Card Services Falls Church VA 07/2013 10/2023
  • 07/2013 → Present
    Massmutual Life Insurance Co
    Mclean, VA
  • 09/2013 → Present
    Mclean, VA
  • 03/2013 → 01/2017
    Legalshield
    Falls Church, VA
  • 07/2013 → 10/2023
    Alpha Card Services
    Falls Church, VA
Other Businesses

1) NAME: JAMES L. HICKS INV REL:Y ADDR: @RESIDENTIAL ADDR ON FILE NATURE: BUSINESS COACHING SESSIONS POSITION:BUSINESS COACHING RESOURCE START: 07/01/2019 NO HR/MO:2 NO HR/MO DUR TRADING:0 2) NAME: JAMES LOPES HICKS, INV REL: Y ADDR: 8444 WESTPARK DRIVE SUITE 900 TYSONS VA 22102 NATURE: FOCUS RESEARCH POSITION:FOCUS GROUP PARTICIPANT START:12/18/2019 NO HR/MO:2 NO HR/MO DUR TRADING:2 3) NAME: ALERA GROUP INV REL: Y ADDR: 8444 WESTPARK DRIVE, SUITE 900, TYSONS VA 22102 NATURE: OUTSIDE INSURANCE SALES POSITION: AGENT START: 08/2013 NO HR/MO: 10 NO HR/MO DUR TRADING: 0 DESCRIBE DUTIES: GROUP LIFE GROUP HEALTH, FIXED ANNUITIES 4) NAME: N/A INV REL:Y ADDR: @RESIDENTIAL ADDRESS ON FILE NATURE: ATTORNEY-IN-FACT FOR MY MOTHER LAURINDA LOPES HICKS POSITION: ATTORNEY-IN-FACT START: 07/28/2020 NO HR/MO: 1 NO HR/MO DUR TRADING: 0 5) NAME: J.L. HICKS FINANCIAL GROUP LLC INV REL: Y ADDR: 8444 WESTPARK DR SUITE 900 MCLEAN VA 22102 NATURE: THIS IS THE LEGAL ENTITY THAT I USE TO RUN MY FINANCIAL SERVICES BUSINESS. MY EMPLOYEES ARE PAID BY THE LLC ETC POSITION: FINANCIAL PARTNER START: 7/11/2018 NO HR/MO: 50 NO HR/MO DUR TRADING: 35 DUTIES: I MANAGE THE PRACTICE, MEET WITH CLIENTS, MAKE RECOMMENDATIONS AND HELP MY CLIENTS IMPLEMENT THOSE RECOMMENDATIONS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-11-22
  • S66 Uniform Combined State Law Examination
    2013-11-22
Other Names
  • James Hicks

View on SEC IAPD

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