Michael S. 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.
Michael Scott Hughes was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 1989 - December 22, 1990
ALPINE SECURITIES CORPORATION
May 12, 1987 - July 24, 1989
KOBER FINANCIAL CORP.
January 2, 1987 - March 11, 1987
FITZGERALD, DEARMAN & ROBERTS, INC.
May 9, 1985 - January 2, 1987
EQUITY-ONE CORPORATION
February 5, 1985 - September 11, 1985
BENTLEY INVESTMENTS, INC.
October 9, 1984 - December 27, 1984
RICHEY, FRANKEL & COMPANY
May 21, 1984 - September 24, 1984
PENN WEST SECURITIES & COMPANY
April 9, 1984 - May 14, 1984
FIRST INTERWEST SECURITIES CORPORATION
January 11, 1984 - April 23, 1984
R. A. JOHNSON AND COMPANY, 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
ALPINE SECURITIES CORPORATION
CRD#: 14952 / SEC#: , 8-31464
Contact information
FINRA licenses (49 States and Territories)
Disclosures
| Regulatory Event | 45 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
