Thomas Ricks has been an investment adviser representative at Simplified Wealth Management since July 2018, and is not listed among the firm’s executive officers or direct owners.
Simplified Wealth Management, LLC is a Hattiesburg, MS firm with $226M under management, 712 clients and 7 advisers in one office, as of its February 2026 filing.
Thomas Ricks’ longest registration is the current one, 8 years at Simplified Wealth Management since 2018. Before joining Simplified Wealth Management in 2018, Thomas Ricks was registered through LPL Financial LLC and Raymond James Financial Services Advisors, Inc.
- Simplified Wealth ManagementCurrent– present · 8 yearsHattiesburg, MS · Adviser representative · Firm CRD 297059
- LPL Financial LLC– · 2 yearsHattiesburg, MS · Adviser representative · Firm CRD 6413
- Raymond James Financial Services Advisors, Inc– · under a yearHattiesburg, MS · Adviser representative · Firm CRD 149018
Investment adviser representative registrations
Thomas Ricks is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from July 2018; the most recent is Texas, in January 2019.
- LouisianaSince 2 January 2019
- MississippiSince 30 July 2018
- TexasResidentSince 24 January 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 16 December 2014 |
| Series 7 | General Securities Representative Examination | 29 September 2014 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Andrew Ricks
- CRD
- 6244408
- Firm
- Simplified Wealth Management · CRD 297059
- Office
- 14 ORLEANS DRIVE, Hattiesburg, MS 39402
- Registration
- Investment adviser registration
- In the industry since
- September 2014
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Ricks work?
Thomas Ricks is an investment adviser representative registered through Simplified Wealth Management, LLC since July 2018, and is not listed among the firm’s executive officers or direct owners.
Is Thomas Ricks a financial advisor?
Yes. Thomas Ricks has a current investment-adviser registration in Louisiana, Mississippi and Texas, through Simplified Wealth Management since July 2018.
How many years of experience does Thomas Ricks have?
Thomas Ricks has 12 years in the financial industry, since September 2014, across 3 adviser firms.
What exams has Thomas Ricks passed?
Thomas Ricks has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in September 2014. FINRA credited Thomas Ricks with the SIE, which began in October 2018.
Where did Thomas Ricks work before Simplified Wealth Management?
Before Simplified Wealth Management, Thomas Ricks was registered through LPL Financial LLC, January 2016 to July 2018; Raymond James Financial Services Advisors, Inc, January 2015 to January 2016.
Where is Thomas Ricks based?
Thomas Ricks’ registered office is in Hattiesburg, MS.
Is Thomas Ricks registered with FINRA?
No. Thomas Ricks has no current broker registration.
How can I verify Thomas Ricks’ record?
Search CRD 6244408 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Ricks’ full registration record.