Carman Hicks has been Chief Executive Officer & Chief Compliance Officer & Member of Hicks & Associates Wealth Management since August 2022, is a control person of the firm and directly owns 75% or more of it.
Hicks & Associates Wealth Management, LLC is a Cary, NC firm with $120M under management, 162 clients and 2 advisers in one office, as of its February 2026 filing.
Carman Hicks’ longest registration was 18 years at Ameriprise Financial Services, LLC. (2001–2020). Before joining Hicks & Associates Wealth Management in 2022, Carman Hicks was registered through Wealthshield Partners, LLC and Ameriprise Financial Services, LLC.
- – present · 3 yearsCary, NC · Adviser representative · Firm CRD 323171
- Wealthshield Partners, LLC– · 2 yearsCary, NC · Adviser representative · Firm CRD 169584
- Ameriprise Financial Services, LLC.– · 18 yearsCary, NC · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Carman Hicks is registered as an investment adviser representative in 2 states. The first approvals date from November 2022; the most recent is Texas, in May 2025.
- North CarolinaSince 16 November 2022
- TexasSince 14 May 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 15 February 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 15 February 1999 |
| Series 7 | General Securities Representative Examination | 7 January 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Carman Theodore Hicks
- CRD
- 3156997
- Firm
- Hicks & Associates Wealth Management · CRD 323171
- Role
- Chief Executive Officer & Chief Compliance Officer & Member
- Office
- 1145 EXECUTIVE CIRCLE, SUITE C, Cary, NC 27511
- Registration
- Investment adviser registration
- In the industry since
- January 1999
- Disciplinary history
- Not yet shown here · SEC record
Where does Carman Hicks work?
Carman Hicks has been Chief Executive Officer & Chief Compliance Officer & Member of Hicks & Associates Wealth Management, LLC since August 2022, and is a control person of the firm.
Is Carman Hicks a financial advisor?
Yes. Carman Hicks has a current investment-adviser registration in North Carolina and Texas, through Hicks & Associates Wealth Management since November 2022.
How many years of experience does Carman Hicks have?
Carman Hicks has 27 years in the financial industry, since January 1999, across 3 adviser firms.
What exams has Carman Hicks passed?
Carman Hicks has passed 3 licensing exams: the Series 7, Series 65 and Series 63. The earliest, the Series 7, was passed in January 1999. FINRA credited Carman Hicks with the SIE, which began in October 2018.
Where did Carman Hicks work before Hicks & Associates Wealth Management?
Before Hicks & Associates Wealth Management, Carman Hicks was registered through Ameriprise Financial Services, LLC., December 2001 to October 2020.
Where is Carman Hicks based?
Carman Hicks’ registered office is in Cary, NC.
Is Carman Hicks registered with FINRA?
No. Carman Hicks has no current broker registration.
How can I verify Carman Hicks’ record?
Search CRD 3156997 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Carman Hicks’ full registration record.