Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
WILLIAM DOUGLAS HICKS JR.
DOUG HICKS, WILLIAM HICKS
CRD#: 4423760
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1000 LOUISIANA ST 7TH FL
[TN/TD-RBO]
HOUSTON, TX 77002
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - 2014 (2 years)2 FIRMS2014 - 2014 (<1 year)2 FIRMS2014 - 2016 (1 year)2 FIRMS2016 - 2023 (6 years)2 FIRMS2023 - Present (1 year)BDFC INVESTOR SERVICES (CRD# 18558)2005 - 2007 (2 years)BEDWARD JONES (CRD# 250)2001 - 2005 (3 years)IADFC INVESTOR SERVICES (CRD# 18558)2006 - 2007 (<1 year)
Disclosure(s)
View By:
1/18/2018
Customer Dispute
Settled
License(s)

State Registrations

B
Colorado 5/18/2023
B
Oklahoma 5/18/2023
B
Florida 5/18/2023
B
Tennessee 5/18/2023
B
Georgia 5/18/2023
B
Texas 5/18/2023
B
Louisiana 5/18/2023
IA
Texas 5/18/2023
B
Ohio 5/18/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
1000 LOUISIANA ST 7TH FL [TN/TD-RBO], HOUSTON, TX 77002
1331 W DAVIS ST, CONROE, TX 77304
Registered with this firm since 5/18/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1000 LOUISIANA ST 7TH FL [TN/TD-RBO], HOUSTON, TX 77002
1331 W DAVIS ST, CONROE, TX 77304
Registered with this firm since 5/18/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/15/2016 - 05/19/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) SPRING, TX
B
 07/15/2016 - 05/19/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) SPRING, TX
IA
 12/05/2014 - 07/26/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) MAGNOLIA, TX
B
 12/05/2014 - 07/26/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) MAGNOLIA, TX
IA
 04/22/2014 - 11/20/2014 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) THE WOODLANDS, TX
B
 04/22/2014 - 11/20/2014 CETERA INVESTMENT SERVICES LLC (CRD#:15340) THE WOODLANDS, TX
IA
 07/05/2011 - 04/24/2014 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
B
 07/05/2011 - 04/24/2014 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
IA
 06/01/2009 - 07/05/2011 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) MAGNOLIA, TX
B
 06/01/2009 - 07/05/2011 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) MAGNOLIA, TX
IA
 05/30/2007 - 06/08/2009 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) MAGNOLIA, TX
B
 05/30/2007 - 06/08/2009 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) BRYAN, TX
IA
 05/22/2007 - 05/31/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) THE WOODLANDS, TX
B
 05/22/2007 - 05/31/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) THE WOODLANDS, TX
IA
 07/25/2006 - 05/23/2007 DFC INVESTOR SERVICES (CRD#:18558) WALLER, TX
B
 03/31/2005 - 05/23/2007 DFC INVESTOR SERVICES (CRD#:18558) WALLER, TX
B
 09/05/2001 - 03/22/2005 EDWARD JONES (CRD#:250) ST. LOUIS, MO
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.