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ROGER CRAIG HICKS
CRD#: 1109043
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 302 CARNEGIE CENTER STES 102 & 104
PRINCETON, NJ 08540
Registration History
1985199019952000200520102015202020252 FIRMS2003 - Present (21 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1983 - 2003 (19 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1983 - 1983 (<1 year)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2002 - 2003 (1 year)
Disclosure(s)
View By:
1/22/1991
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Alabama 3/22/2019

IA
New Jersey 7/1/2003

B
Arizona 1/17/2006

B
New York 7/1/2003

B
California 7/1/2003

B
Pennsylvania 7/1/2003

B
Delaware 8/26/2022

IA
Pennsylvania 6/25/2024

B
Florida 7/1/2003

B
Rhode Island 12/16/2004

B
Georgia 1/15/2004

B
South Carolina 1/8/2004

B
Maryland 7/1/2003

B
Vermont 7/1/2003

B
Massachusetts 1/13/2004

B
Virginia 7/1/2003

B
Nevada 6/16/2022

B
West Virginia 9/14/2015

B
New Jersey 7/1/2003

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
302 CARNEGIE CENTER STES 102 & 104, PRINCETON, NJ 08540
Registered with this firm since 7/1/2003

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
302 CARNEGIE CENTER STES 102 & 104, PRINCETON, NJ 08540
Registered with this firm since 7/1/2003

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/31/2002 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) PRINCETON, NJ
B
11/03/1983 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
03/22/1983 - 11/03/1983 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.