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Carman Theodore Hicks

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC·CARY, North Carolina
SIE, Series 7, Series 63, Series 65CFPClean record24 years registeredHICKS & ASSOCIATES WEALTH MANAGEMENT, LLC
1145 EXECUTIVE CIRCLE, CARY, NC 27511CRD# 3156997Firm CRD# 323171

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Carman Theodore Hicks · CARY, NC
Registration
CRD #3156997 · HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC · 24 years registered
Brand Profile
Not yet started
01

Career History

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC
Nov 2022 – present
WEALTHSHIELD PARTNERS, LLC
Oct 2020 – Jan 2023
CARY, NC
WEALTHSHIELD PARTNERS, LLC
Oct 2020 – Oct 2020
CARY, NC
AMERIPRISE FINANCIAL SERVICES, LLC.
Dec 2001 – Oct 2020
CARY, NC
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 63
Series 65
Registration record
First registered · December 31, 2001
Years registered · 24
Professional designation · CFP
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC
CRD 323171 · SEC 801-126797
AUM
$124M
Regulatory assets under management
Employees
6
881 client accounts
Services offered by HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC →
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05

Frequently Asked Questions

What services does Carman Theodore Hicks offer?
Carman Theodore Hicks specializes in Financial Planning, Investment Management. Contact their office in CARY, North Carolina for a consultation.
What are Carman Theodore Hicks's credentials?
Carman Theodore Hicks holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.
Where is Carman Theodore Hicks located?
Carman Theodore Hicks is based in CARY, North Carolina, working with HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC. Their office serves clients in the CARY metropolitan area and surrounding communities.
How does Carman Theodore Hicks charge for services?
Carman Theodore Hicks's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC?
HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC has approximately 6 employees and manages $124M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Nearby cities in North Carolina
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Research
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