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Detailed Report
KENNETH E HICKS
KENNETH EUGENE HICKS
CRD#: 2722233
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 101 FALLS PARK DRIVE
SUITE 600
GREENVILLE, SC 29601
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - 2005 (8 years)2 FIRMS2005 - 2008 (2 years)2 FIRMS2008 - 2018 (10 years)2 FIRMS2018 - Present (7 years)
License(s)

State Registrations

B
California 2/16/2018
B
North Carolina 2/16/2018
B
Colorado 2/16/2018
B
Pennsylvania 2/24/2025
B
Florida 2/16/2018
B
South Carolina 2/16/2018
B
Georgia 2/16/2018
IA
South Carolina 2/16/2018
B
Kentucky 6/30/2023
B
Tennessee 11/12/2019
B
Massachusetts 2/16/2018
B
Texas 2/16/2018
B
New Jersey 2/12/2025
IA
Texas 3/8/2018
B
New York 1/31/2019

SRO Registrations

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
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
101 FALLS PARK DRIVE SUITE 600, GREENVILLE, SC 29601
Registered with this firm since 2/16/2018
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
101 FALLS PARK DRIVE SUITE 600, GREENVILLE, SC 29601
Registered with this firm since 2/16/2018
Previous Registration(s)
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IA
 01/01/2008 - 02/20/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) GREENVILLE, SC
B
 01/01/2008 - 02/20/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) GREENVILLE, SC
B
 02/18/2005 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) GREENVILLE, SC
IA
 02/23/2005 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) GREENVILLE, SC
IA
 07/31/1996 - 03/16/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GREENVILLE, SC
B
 04/25/1996 - 03/16/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
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.