James Hicks, financial advisor Vienna VA
77 score

James Hicks

CRD Number: 6238707
Current Firm: Mml Investors Services, LLC

James Hicks (CRD# 6238707) is an Investment Advisor Representative working at Mml Investors Services, LLC in Vienna, VA and has over 3 years of experience in the finance industry.

Similar Advisors
Jim David, financial advisor Vienna VA
Jim David
CRD# 4092356
David Wealth Management, LLC
Score
108
Similar Advisors
Michael Treanor, financial advisor Vienna VA
Michael A. Treanor
CRD# 5446267
Aegis Wealth Management LLC
Score
107
Similar Advisors
John Hensley, financial advisor Vienna VA
John K. Hensley
CRD# 1316159
Palatine Advisors, Inc.
Score
106
Company Name Location Dates Years
Mml Investors Services Vienna, VA Sep 2013 - Current 3
Mass Mutual Life Insurance Company Vienna, VA Jul 2013 - Current 3
Alpha Card Services Falls Church, VA Jul 2013 - Current 3
Legalshield Falls Church, VA Mar 2013 - Current 3
Farmers Insurance Group Reston, VA Jan 2013 - Jul 2013 < 1
Merchant Services Falls Church, VA Dec 2012 - Jul 2013 < 1
Unemployed Sao Paulo, Jul 2012 - Oct 2012 < 1
Samsung Electronics Seoul, Aug 2011 - Jun 2012 < 1
Unemployed Charlottesville, VA Jun 2011 - Jul 2011 < 1
Darden School Of Business At The University Of Virginia Charlottesville, VA Aug 2009 - May 2011 1
Microaire Surgical Instruments Charlottesville, VA May 2010 - Aug 2010 < 1
Unemployed Charlottesville, VA Jun 2009 - Jul 2009 < 1
Shire Pharmaceuticals Lutherville/timonium, MD Apr 2007 - May 2009 2
Philip Morris Usa Richmond, VA Jun 2003 - Mar 2007 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for James L. Hicks
Phone Number: (413)737-8400
Registered State(s):
  • VA
By the Numbers
  • Total Assets Under Management
    666
    MILLIONS
  • Total Number of Accounts
    3,874
    ACCOUNTS
  • Average Account Value
    $171,955
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from James Hicks and other advisors.
BADGES
77

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.