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Hicks & Associates Wealth Management, LLC CRD 323171
$120M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1145 Executive Circle Suite C, Cary, NC 27511 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-05-14 |
| NC | RA | APPROVED | 2022-12-16 |
Branch Locations
1145 Executive Circle Suite C, Cary, NC 27511 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Cary | NC | 01/1999 | 10/2020 |
| Wealthshield Partners, Llc | Cary | NC | 10/2020 | 10/2022 |
| Hicks & Associates Wealth Management, Llc | Cary | NC | 10/2022 | Present |
Fiduciary Activities; Named or act in a fiduciary capacity; such as attorney-in-fact, trustee, conservator, guardian, executor or personal representative. START DATE: 06/2013. 1 hour per month; 0 during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-02-15 |
| S65 | Uniform Investment Adviser Law Examination | 1999-02-15 |
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