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Detailed Report
WALLACE J HICKS
W JEFF HICKS
CRD#: 5329241
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 4969 US Highway 42
Suite 1200
Louisville, KY 40222
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
Alabama 5/15/2017
B
Missouri 10/22/2020
B
Arizona 8/6/2019
B
Nevada 11/18/2016
B
Arkansas 1/25/2021
B
New Jersey 12/2/2011
B
California 12/2/2011
B
New Mexico 11/1/2022
B
Colorado 6/19/2017
B
New York 6/1/2009
B
Connecticut 12/2/2011
B
North Carolina 12/5/2011
B
District of Columbia 12/3/2024
B
Ohio 12/5/2011
B
Florida 6/1/2009
B
Oklahoma 12/2/2011
B
Georgia 12/2/2011
B
Oregon 12/2/2011
B
Illinois 12/2/2011
B
Pennsylvania 9/14/2022
B
Indiana 6/1/2009
B
South Carolina 12/2/2011
B
Kentucky 6/1/2009
B
South Dakota 5/18/2017
IA
Kentucky 6/1/2009
B
Tennessee 11/9/2020
B
Maryland 8/4/2020
B
Texas 6/1/2009
B
Massachusetts 12/2/2011
IA
Texas 2/11/2014
B
Michigan 12/2/2011
B
Utah 12/2/2011
B
Minnesota 11/8/2022
B
Virginia 8/25/2022

SRO Registrations

B
 FINRA
B
 NYSE American 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
MORGAN STANLEY (CRD#:149777)
4969 US Highway 42 Suite 1200, Louisville, KY 40222
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
4969 US Highway 42 Suite 1200, Louisville, KY 40222
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 07/31/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOUISVILLE, KY
B
 07/04/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOUISVILLE, KY
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.