TrueAdvisor
TrueAdvisor
EH
EH

Elisabeth Hickox

Osaic Wealth, INC.
22 Years of Experience
Newport, RI
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Elisabeth Hickox is a registered investment advisor at Osaic Wealth, INC., based in Newport, RI, with 22 years of industry experience. Elisabeth is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Education Planning, Estate Planning, and 5 more. Their firm serves 575,512 clients with $230B in assets under management.

Osaic Wealth, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9244 advisors
Number of Clients
575,512 clients
Average Client Portfolio
$408K average
Assets Under Management
$234.9B

Fee Structure

Minimum Investment:$5.5K
Planning is included in investment management (also available separately)

Osaic Wealth offers several investment management programs where fees are charged as an annual percentage of your portfolio, typically billed monthly or quarterly. Because individual financial professionals negotiate their own fee schedules and programs vary by platform, exact rates depend on the specific account type and manager selected.

  • Advisor Managed Portfolios and Unified Managed Account Programs — Fees vary based on negotiations with your financial professional and the specific asset allocation models or third-party managers chosen.
  • Plan Participant Retirement Program — Annual management fees charge up to 3.00% of your account assets, structured as a fixed percentage or a tiered fee schedule.
  • Program Annuities — Annual advisory fees for managing outside annuities will not exceed 1.50% of program assets for new accounts.

Account minimums vary widely by program, ranging from $5,500 to $10,000 for certain automated or platform accounts, while other programs depend on the specific investment product or third-party manager.

View Full SEC Brochure

Location

26 Washington Street, Suite 7, Newport, RI, 02840

Get directions

History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2019
Denied
Criminal
March 1984
Final Disposition
Criminal
October 1983
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Elisabeth is involved in several business activities, including Independence Financial Partners and Core Financial Partners, where she works as a financial advisor. She also engages in insurance sales, endurance sports coaching, and manages a rental property, dedicating a few hours per week to insurance sales.

Employment History
Current Registrations
Osaic Wealth, INC.
November 2018 - Present · 7 yrs 11 mos
Osaic Wealth, INC.Broker
November 2018 - Present · 7 yrs 11 mos
Previous Registrations
Signator Investors, INC.
April 2016 - November 2018 · 2 yrs 7 mos
Signator Investors, INC.Broker
April 2016 - November 2018 · 2 yrs 7 mos
Wells Fargo Advisors, LLC
October 2011 - March 2016 · 4 yrs 5 mos
Wells Fargo Advisors, LLCBroker
September 2011 - March 2016 · 4 yrs 6 mos
Schonfeld Securities, LLCBroker
May 2005 - January 2006 · 8 mos
Herzog, Heine, Geduld, LLCBroker
March 2000 - April 2002 · 2 yrs 1 mo
Herzog, Heine, Geduld, INC.Broker
December 1997 - July 1999 · 1 yr 7 mos
Herzog, Heine, Geduld, INC.Broker
May 1994 - August 1997 · 3 yrs 3 mos
Investors Center, INC.Broker
January 1989 - February 1989 · 1 mo
State Registrations18 states
CACOCTFLILMAMEMINCNHNYOHOKPARISCTXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Newport, RI →All financial advisors in Rhode Island →