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Detailed Report
SCOT ROB HICKS
SCOT HICKS
CRD#: 1823973
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 11025 300 SPECTRUM CENTER DR STE 845
[SATELLITE]
IRVINE, CA 92618
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2013 - 2023 (9 years)2 FIRMS2023 - 2025 (2 years)2 FIRMS2025 - Present (<1 year)
License(s)

State Registrations

B
Alabama 2/4/2025
B
Montana 1/31/2025
B
Alaska 1/31/2025
B
Nevada 1/31/2025
B
Arizona 1/31/2025
B
New Jersey 1/31/2025
B
California 1/31/2025
B
New Mexico 1/31/2025
IA
California 2/3/2025
B
New York 1/31/2025
B
Colorado 1/31/2025
B
North Carolina 2/10/2025
B
Florida 1/31/2025
B
Ohio 1/31/2025
B
Georgia 1/31/2025
B
Oregon 2/2/2025
B
Hawaii 2/4/2025
B
Pennsylvania 1/31/2025
B
Idaho 1/31/2025
B
South Carolina 1/31/2025
B
Illinois 2/5/2025
B
Texas 1/31/2025
B
Iowa 1/31/2025
IA
Texas 1/31/2025
B
Louisiana 1/31/2025
B
Utah 1/31/2025
B
Maryland 1/31/2025
B
Virginia 1/31/2025
B
Michigan 1/31/2025
B
Washington 1/31/2025
B
Missouri 1/31/2025
B
Wyoming 1/31/2025

SRO Registrations

B
 FINRA

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#:11025)
300 SPECTRUM CENTER DR STE 845 [SATELLITE], IRVINE, CA 92618
Registered with this firm since 1/31/2025
B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
300 SPECTRUM CENTER DR STE 845 [SATELLITE], IRVINE, CA 92618
Registered with this firm since 1/31/2025
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/24/2023 - 02/03/2025 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) SAN DIEGO, CA
B
 01/23/2023 - 02/03/2025 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) SAN DIEGO, CA
IA
 08/30/2013 - 02/16/2023 MORGAN STANLEY (CRD#:149777) Newport Beach, CA
B
 06/27/2013 - 02/16/2023 MORGAN STANLEY (CRD#:149777) Newport Beach, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.