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 James Hughes was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 7 firms and has passed the 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
October 3, 2011 - October 15, 2013
GLEACHER & COMPANY SECURITIES, INC.
June 26, 2002 - October 19, 2005
DEAM INVESTOR SERVICES, INC.
November 15, 2001 - October 9, 2002
DEUTSCHE BANK SECURITIES INC.
October 3, 1997 - January 6, 1998
BROADCORT CAPITAL CORP.
October 3, 1997 - January 31, 2001
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
March 22, 1991 - January 31, 2001
MERRILL LYNCH GOVERNMENT SECURITIES INC.
April 18, 1989 - January 31, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GLEACHER & COMPANY SECURITIES, INC.
CRD#: 298 / SEC#: , 8-2018
Contact information
Documents
Disclosures
| Regulatory Event | 33 |
| Civil Event | 1 |
| Arbitration | 10 |
Red Flags
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