William B. Hughes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Boyce Hughes, who also goes by Billy Hughes, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2020 - November 8, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 7, 2020 - November 8, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 5, 2019 - December 18, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
September 11, 2018 - December 18, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
June 13, 2012 - September 11, 2018
INVESTMENT PROFESSIONALS, INC.
May 2, 2011 - November 22, 2011
LPL FINANCIAL LLC
April 3, 2008 - July 31, 2009
FIRST HORIZON ADVISORS, INC.
April 2, 2008 - July 31, 2009
FIRST HORIZON ADVISORS, INC.
March 11, 2004 - March 28, 2008
MORGAN KEEGAN & COMPANY, LLC
April 12, 2001 - March 28, 2008
MORGAN KEEGAN & COMPANY, LLC
January 8, 2001 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
February 18, 2000 - December 19, 2000
NBC CAPITAL MARKETS GROUP, INC.
February 14, 2000 - February 24, 2000
AMSOUTH INVESTMENT SERVICES, INC.
March 5, 1998 - February 14, 2000
INVEST FINANCIAL CORPORATION
January 1, 1991 - February 10, 1998
VINING-SPARKS IBG, LLC
August 18, 1989 - February 10, 1998
ICBA SECURITIES
March 14, 1983 - January 1, 1991
VINING-SPARKS SECURITIES, INC.
April 26, 1982 - February 18, 1983
T. J. RANEY & SONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
