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Detailed Report
LAURA FRANCES HICKS
LAURA F HICKS, LAURA HICKS, LAURA FRANCES MORPHY
CRD#: 4957082
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 1250 Pittsford Victor Rd - Bldg 200
Suite 190
Pittsford, NY 14534-9500
Registration History
2008201020122014201620182020202220242026IACHARLES SCHWAB & CO., INC. (CRD# 5393)2016 - Present (8 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2007 - Present (17 years)
License(s)

State Registrations

B
Arizona 3/28/2019
IA
New York 4/22/2021
B
Florida 10/2/2008
B
Ohio 5/2/2019
B
Indiana 3/28/2019
B
Oregon 3/28/2019
B
Maryland 3/28/2019
B
South Carolina 6/12/2019
B
Massachusetts 11/3/2022
B
Texas 3/28/2019
B
Minnesota 3/28/2019
B
Virginia 3/28/2019
B
Missouri 3/28/2019
B
Wisconsin 3/28/2019
B
New York 8/27/2007
B
Wyoming 3/28/2019

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1250 Pittsford Victor Rd - Bldg 200 Suite 190, Pittsford, NY 14534-9500
Registered with this firm since 12/12/2016
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1250 Pittsford Victor Rd - Bldg 200 Suite 190, Pittsford, NY 14534-9500
Registered with this firm since 8/3/2007
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.