Fiduciary Financial Services
Serving clients with diligence and valuing their interests above our own is a core value of the Hicks & Associates Wealth Management team. This core conviction is encapsulated by the fiduciary standard of care.
We strive to deliver personalized and comprehensive financial planning advice through our simple four-step process. When it comes to helping our clients manage their investments, our multi-strategy investment technique combines characteristics of a variety of investment theories into one rules based & cohesive methodology that is designed to minimize downside risk.
We view ourselves as your personal Chief Financial Officer (CFO) with you as the CEO. We take the time to get to know you, your values and your objectives, so we can guide you along life’s journey while holding ourselves to the industry’s highest standard of care. We are a fiduciary firm, meaning we have a legal responsibility to make decisions and recommendations that are in your best interest.
We are the kind of lifelong partners you can confide in. We’re committed to doing everything we can to stay true to our firm’s ideals. We’ve seen missed opportunities for clients when advisors have chosen their interest over their clients, which is why we always remain loyal to you instead.
Our team is made up of dedicated professionals eager to be there for you even beyond finances—because we understand how intertwined your wealth is with your values, your life and your family.
We view ourselves as your personal CFO, with you as the CEO. When you have an important issue to address, our goal is to be here for you as your confidant in making clear and informed choices for your future and that of your family
We work collaboratively to serve our clients, applying values of integrity and loyalty to our work. Doing what is in your best interest—even when no one is paying attention—is indicative of the fiduciary standard that guides our firm’s moral compass.
Put our clients first.
Remain transparent in our fees.
Avoid or disclose conflicts of interest.
We do not sell proprietary products.
This number may include years as a financial advisor, and/or experience as a registered representative.
My wife and I love photography—especially when the subject is our children. We both plan to take more formal training, if for no other reason than to help us take better family snapshots for my wife's scrapbooking hobby.
In my down time, I love to read, especially the biographies of some of our nation's heroes. The biography that I have, so far, enjoyed reading the most was "I Could Never Be So Lucky Again,” the autobiography that Jimmy Doolittle wrote when he was 95.
My other hobby is cycling.
Finally, at some point I plan to get back into Aikido, a Japanese martial art. I also enjoy general aviation, having earned my Private Pilot certificate in early 2014.
In the summer of '09, a client asked me to join the Board of Directors for Club Horizon, a non-profit that serves adults with severe and persistent mental illness. Serving on the Board is never something I imagined myself doing. However, I served from June of '09 through May of '15 and was continually impressed and proud to be associated with the organization.
I also sit on the Board of Directors for the John Locke Foundation, an independent, nonprofit think tank that works "for truth, for freedom, and for the future of North Carolina."
Given how many clients we have who have been affected by cancer over the years, and my love of cycling, we have also created a cycling team for the V-Foundation Victory Ride to Cure Cancer.
Finally, I hope to go on my first mission trip with Bahamas Habitat, which is a Christian non-profit.
CERTIFIED FINANCIAL PLANNER™ (CFP®) certification is obtained by completing an advanced college-level course of study addressing the financial planning subject areas that the CFP board’s studies have determined as necessary for the competent and professional delivery of financial planning services, a comprehensive certification exam (administered in 10 hours over a 2 day period) and agreeing to be bound by the CFP board’s standard of professional conduct. As a prerequisite the IAR must have a bachelor’s degree from a regionally accredited United States college or university (or foreign university equivalent) and have at least 3 years of full-time financial planning experience (or equivalent measured at 2,000 hours per year).This designation requires 30 hours of continuing education every 2 years and renewing an agreement to be bound by the standards of professional conduct.
The CHARTERED MARKET TECHNICIAN® (CMT®) Program requires candidates to demonstrate proficiency in a broad range of topics in the field of Technical Analysis. The Program consists of three levels; CMT Level 1 and CMT Level 2 are multiple choice exams while CMT Level 3 is in short answer form. The CMT designation is granted by the CMT Association. The objectives of the CMT Program are to professionalize the field of Technical Analysis, to promote high ethical and professional standards and to guide candidates in mastering a professional body of knowledge. In order to be granted the CMT designation, all candidates must successfully complete all three (3) levels of the CMT Exam, obtain 'Member Status' in the CMT Association and have been gainfully employed in a professional analytical or investment management capacity for a minimum period of three (3) years and must be regularly engaged in this capacity at the time of successfully passing all three (3) levels of the CMT Exam. The CMT examinations test the critical knowledge and tasks needed to perform the duties as a technical analyst. The three-part examination measures basic, entry-level competence and understanding of the candidate, requires the candidate to demonstrate a greater depth of analysis and competency and tests the candidate on the development of logical and consistent research opinions, portfolio strategies and trading decisions based on a wide range of charts and technical data. To maintain their status as a CMT charterholder, an individual must be a member of the CMT in good standing and abide by the CMT Code of Ethics.
The CERTIFIED KINGDOM ADVISOR (CKA) is a certification designed for professionals serving clients in the Christian faith and who take a values-based approach to financial matters. It involves a course of study that integrates biblical principles with core financial advisory training. Essentially, CKA holders frame their financial expertise within a worldview consistent with Christian teachings. CKA certification requires professional bona fides not unlike many other financial certifications. Applicants must have certain approved degrees or certifications-such as JD, CPA, CFP and RFP-or 10 years experience in their designated field. The prerequisites vary depending on a candidate’s professional background. There are many professional certificates that qualify candidates for admission, particularly for financial advisors and investment experts. Legal professionals may have specializations in many areas, from estate and gift planning to corporate law. In general, the certification is not designed for people just beginning in their field. Once certified, CKA holders must maintain membership with Kingdom Advisors and take ten hours of continuing education annually.
This number may include years as a financial advisor, and/or experience as a registered representative.
A few years ago, I started playing the stand-up bass. Now that I’ve relocated to Cary, I need to find a new jazz group to join!
CERTIFIED FINANCIAL PLANNER™ (CFP®) certification is obtained by completing an advanced college-level course of study addressing the financial planning subject areas that the CFP board’s studies have determined as necessary for the competent and professional delivery of financial planning services, a comprehensive certification exam (administered in 10 hours over a 2 day period) and agreeing to be bound by the CFP board’s standard of professional conduct. As a prerequisite the IAR must have a bachelor’s degree from a regionally accredited United States college or university (or foreign university equivalent) and have at least 3 years of full-time financial planning experience (or equivalent measured at 2,000 hours per year).This designation requires 30 hours of continuing education every 2 years and renewing an agreement to be bound by the standards of professional conduct.
The CHARTERED LIFE UNDERWRITER® (CLU®) is a professional designation awarded by The American College of Financial Services to individuals who specialize in life insurance underwriting and estate planning. Candidates are required to complete eight courses, as well as eight examinations. The designation requires 30 hours of continuing education every year.
This number may include years as a financial advisor, and/or experience as a registered representative.
Our family enjoys golf, watching football, going to baseball games and other outdoor activities. We prioritize spending time together as a family by playing games, spending time outside and learning new things together.
My family is active in the community through our local church. We take part in parades, fairs, festivals and more in an effort to serve the community we live in. We shop local, eat local and enjoy the people we are proud to call neighbors.
The ACCREDITED ASSET MANAGEMENT SPECIALIST® (AAMS®) is a professional designation awarded by the College for Financial Planning (CFP) to professionals who successfully complete a self-study program, pass an exam, and agree to comply with the Code of Ethics. The program provides advisors with a strong fundamental financial knowledge with a specific focus on asset management and investments.
The ACCREDITED PORTFOLIO MANAGEMENT ADVISOR (APMA® ) is a professional designation awarded by the College for Financial Planning (CFP) to professionals who successfully complete a two-part self-study program, pass an exam, and agree to comply with the Code of Ethics. The designation requires 16 hours of continuing education every two years. The program covers the finer points of portfolio creation, augmentation, and maintenance.
I enjoy spending time with friends and family. When I'm not in the office, I love to lift weights, play golf and play the guitar.
Executive Assistant to Theodore Hicks since 2004
We believe being a good steward means we should give generously, both of our time and our money. Even in the richest country in the world, there are people all around us who have fallen on hard times. For Hicks & Associates, we believe it is our responsibility to do our part to help those who have found themselves in a tough spot.
Over the years, we’ve supported a number of charities simply so that we can play our role in serving those in need. Currently, we are working with the following organizations and invite you to check out these and other organizations in your area if you are looking for a way to bless others.
By following a simple process, we believe our clients appreciate being equipped with specific next steps and clarity surrounding their wealth.
Before beginning the process, we like to have a personalized consultation to see if we’re a good fit to collaborate. We typically meet with clients face-to-face for this, but we are also happy to meet with you virtually.
Getting to know you, what you hope to achieve and laying out next steps
Establishing your goals and acquiring data and information
Analyzing your information and identifying areas of improvement
Discussing our recommendations with you and putting them into action
Throughout the year, we are always here if you have questions or would like to talk through any decisions. We’ll support you when things are challenging, and we’ll celebrate with you when things are going well.
As you experience change, you can confide in us to adjust your financial strategies to keep pace with your evolving life.
1225 Crescent Green Suite 100
Cary, NC 27518
(919) 851-5512
510 NW Broad Street
Southern Pines, NC 28387
(910) 692-9014
Western Wake Crisis Ministry
Durham Rescue Mission
Food Bank of Eastern North Carolina