Paul Richards has been an investment adviser representative at Hicks & Associates Wealth Management since November 2022, and is not listed among the firm’s executive officers or direct owners.
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.
Paul Richards is Chief Financial Planner of Hicks & Associates Wealth Management, LLC. Richards has over a decade of experience in the financial industry, and his experience spans investment management and Christian financial strategies.
Paul Richards’ longest registration is the current one, 3 years at Hicks & Associates Wealth Management since 2022. Before joining Hicks & Associates Wealth Management in 2022, Paul Richards 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.– · under a yearCary, NC · Adviser representative · Firm CRD 6363
- Edward Jones– · 3 yearsCharlotte, NC · Adviser representative · Firm CRD 250
Professional designations
Listed by Hicks & Associates Wealth Management
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Paul Richards is registered as an investment adviser representative in North Carolina, since November 2022.
- North CarolinaSince 16 November 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 14 November 2014 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 June 2012 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 22 March 2012 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- CRD
- 4552309
- Firm
- Hicks & Associates Wealth Management · CRD 323171
- Office
- 1145 EXECUTIVE CIRCLE, SUITE C, Cary, NC 27511
- Registration
- Investment adviser registration
- In the industry since
- August 2010
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- hicks-associates.com
Where does Paul Richards work?
Paul Richards is an investment adviser representative registered through Hicks & Associates Wealth Management, LLC since November 2022, and is not listed among the firm’s executive officers or direct owners.
Is Paul Richards a financial advisor?
Yes. Paul Richards has a current investment-adviser registration in North Carolina, through Hicks & Associates Wealth Management since November 2022.
How many years of experience does Paul Richards have?
Paul Richards has 16 years in the financial industry, since August 2010, across 4 adviser firms.
What exams has Paul Richards passed?
Paul Richards has passed 3 licensing exams: the Series 6, Series 63 and Series 7. The earliest, the Series 6, was passed in March 2012. FINRA credited Paul Richards with the SIE, which began in October 2018.
Where did Paul Richards work before Hicks & Associates Wealth Management?
Before Hicks & Associates Wealth Management, Paul Richards was registered through Ameriprise Financial Services, LLC., February 2020 to October 2020; Edward Jones, November 2016 to March 2020.
Where is Paul Richards based?
Paul Richards’ registered office is in Cary, NC.
Is Paul Richards registered with FINRA?
No. Paul Richards has no current broker registration.
Is Paul Richards a CFP?
Hicks & Associates Wealth Management lists Paul Richards with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Paul Richards’ record?
Search CRD 4552309 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Paul Richards’ full registration record.