Patrick T. 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.
Patrick Thomas Hughes was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1983. Patrick had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2016 - January 22, 2017
DEIMOS SECURITIES LLC
December 5, 2012 - February 10, 2015
GUGGENHEIM SECURITIES, LLC
June 2, 2010 - June 10, 2011
GUGGENHEIM SECURITIES, LLC
February 27, 2007 - June 26, 2008
CLIFDEN EQUITIES, LLC
December 8, 2003 - April 4, 2005
GUGGENHEIM INVESTOR SERVICES, LLC
March 13, 1998 - September 20, 2002
RBC CAPITAL MARKETS CORPORATION
October 2, 1996 - February 9, 1998
BARCLAYS CAPITAL INC.
January 26, 1995 - October 1, 1996
UBS FINANCIAL SERVICES INC.
January 4, 1994 - January 19, 1995
KIDDER, PEABODY & CO. INCORPORATED
November 21, 1983 - November 29, 1993
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
DEIMOS SECURITIES LLC
CRD#: 175499 / SEC#: , 8-69602
Contact information
Documents
Red Flags
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