Thomas J. 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.
Thomas Joseph Hughes was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 11 firms and has passed the Series 66, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2008 - January 9, 2013
RETIREMENT DEPOT
September 26, 2005 - August 1, 2007
INVESTMENT PLANNERS, INC.
August 19, 2004 - June 14, 2005
NEW ENGLAND SECURITIES
December 17, 2003 - February 13, 2004
VESTIN CAPITAL, INC.
May 31, 2002 - November 1, 2002
HIMCO DISTRIBUTION SERVICES COMPANY
March 28, 2002 - May 23, 2002
INVESTMENT MANAGEMENT CORPORATION
December 22, 1999 - December 31, 2001
OLD SLIP CAPITAL MANAGEMENT, INC.
October 18, 1996 - November 23, 1999
CETERA INVESTMENT SERVICES LLC
January 11, 1994 - October 12, 1995
FIRSTAR INVESTMENT SERVICES,INC.
July 31, 1986 - December 8, 1993
LOCUST STREET SECURITIES, INC.
July 29, 1983 - July 16, 1986
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
RETIREMENT DEPOT
CRD#: 142010 / SEC#:
Contact information
Red Flags
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