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Patrick Thomas Hughes

CRD# 1205626·Registered 1983 - 2017
Previously Registered: Being a previously registered professional could mean that Patrick 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.

Professional Summary

Patrick Thomas Hughes was a registered financial advisor. Patrick was a previously registered financial professional and started their career in finance 1983 - 2017. Patrick had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

DEIMOS SECURITIES LLC·CRD# 175499
BD
Purchase, NY
April 7, 2016 - January 22, 2017
GUGGENHEIM SECURITIES, LLC·CRD# 40638
BD
Purchase, NY
December 5, 2012 - February 10, 2015
GUGGENHEIM SECURITIES, LLC·CRD# 40638
BD
New York, NY
June 2, 2010 - June 10, 2011
CLIFDEN EQUITIES, LLC·CRD# 38278
BD
St. John
February 27, 2007 - June 26, 2008
GUGGENHEIM INVESTOR SERVICES, LLC·CRD# 30096
BD
New York, NY
December 8, 2003 - April 4, 2005
RBC CAPITAL MARKETS CORPORATION·CRD# 6579
BD
New York, NY
March 13, 1998 - September 20, 2002
BARCLAYS CAPITAL INC.·CRD# 19714
BD
New York, NY
October 2, 1996 - February 9, 1998
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
January 26, 1995 - October 1, 1996
KIDDER, PEABODY & CO. INCORPORATED·CRD# 7613
BD
New York, NY
January 4, 1994 - January 19, 1995
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
November 21, 1983 - November 29, 1993

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Current Firm

DS
DEIMOS SECURITIES LLC

DEIMOS SECURITIES LLC

CRD#: 175499 / SEC#: 8-69602
BD
Terminated by SEC on 02/06/2017

Contact Information

Established

Delaware since 02/26/2015

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
DEIMOS MANAGEMENT HOLDINGS LLCMEMBER—
HUGHES, PATRICK THOMASMANAGING PARTNER AND CHIEF COMPLIANCE OFFICER1205626
KATZOVITZ, LOREN MARKMANAGING PARTNER1297659
LIPNER, CAROL NMNCHIEF FINANCIAL OFFICER4434543
STANDISH, MARK ALLANMANAGING PARTNER2223303

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1984About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 1983About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 2015About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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