Emily Winter Hicks
Investment adviser representative at Principal Securities, Inc.
16 yearsExperience
2 statesRegistered in
CFP® certificationDesignation
$17BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
16 years in the industry.
- Principal Life Insurance CoOct 2025 to now
- Principal Securities, Inc.Jul 2021 to now
- Marco RodriguezJul 2020 to Jul 2021
- Uci Campus RecreationAug 2019 to Nov 2019
- Uc IrvineJul 2017 to Jun 2021
- UnemployedJan 2010 to Jun 2019
Designations
- CFP® certification
Exams passed
- Series 66 · Uniform Combined State Law2023
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
Principal Securities, Inc.
$17BAssets managed
51,941Clients
1,464Advisers
28 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7170644
- Firm CRD
- 1137