Harold L. Hughes

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CRD#: 1278178

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.

Harold Laroy Hughes, who also goes by Harold La Roy (ii) Hughes, Harold Laroy Hughes II, was a registered financial professional .

Harold is a previously registered financial professional and started their career in finance in 1984. Harold had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Harold La Roy (ii) Hughes | Harold Laroy Hughes Ii

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 11, 2025 - May 7, 2026

TRITONPOINT PARTNERS, LLC

RIA

CRD#: 333259

CHEVY CHASE, MD

Past

December 22, 2020 - December 7, 2023

PNC CAPITAL ADVISORS LLC

RIA

CRD#: 151829

Baltimore, MD

Past

July 8, 2020 - December 7, 2023

PNC CAPITAL MARKETS LLC

CRD#: 15647

BALTIMORE, MD

Past

April 18, 2018 - April 3, 2020

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559

SALT LAKE CITY, UT

Past

December 24, 2015 - April 27, 2016

ARETE WEALTH ADVISORS, LLC

RIA

CRD#: 145488

Annapolis, MD

Past

December 21, 2015 - April 27, 2016

ARETE WEALTH MANAGEMENT, LLC

CRD#: 44856

ANNAPOLIS, MD

Past

November 17, 2009 - January 13, 2014

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NEW YORK, NY

Past

January 30, 2004 - January 13, 2014

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

NEW YORK, NY

Past

January 30, 2004 - October 21, 2009

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

WASHINGTON, DC

Past

October 3, 1995 - January 12, 2004

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

BALTIMORE, MD

Past

September 28, 1995 - January 12, 2004

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

August 3, 1994 - November 1, 1995

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

August 3, 1994 - November 1, 1995

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

April 23, 1990 - May 5, 1994

TRANSAMERICA FUND DISTRIBUTORS, INC.

CRD#: 3554

HOUSTON, TX

Past

March 23, 1989 - December 31, 1989

PSI SECURITIES CORPORATION

CRD#: 10322

GLENDALE, CA

Past

July 1, 1985 - April 3, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

April 9, 1985 - June 24, 1985

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

July 26, 1984 - April 3, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRITONPOINT PARTNERS, LLC

CRD#: 333259 / SEC#: 801-131295

RIA

Registered Investment Advisory firm - (10/18/2024 Approved)

Maryland

Registered Investment Advisory firm - (3/3/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/8/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/14/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/24/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/27/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/24/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 6/8/2001

General Securities Principal Examination

Current Firm

TRITONPOINT PARTNERS, LLC

CRD#: 333259 / SEC#: 801-131295

RIA

Registered Investment Advisory firm - (10/18/2024 Approved)

Maryland

Registered Investment Advisory firm - (3/3/2025 Terminated)

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Contact information

Main Address

5404 Wisconsin Ave Ste. 330, Chevy Chase, MD 20815

Mailing Address

Phone number

(301) 799-9001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TPP ADV BROCHURE (8/6/2025)

Regulatory assets under management

Total Number of Accounts	242
AUM (Assets Under Management)	$ 110,346,271

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.

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Advisor Monitoring

Firm Stability Insights

Harold L. Hughes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PNC CAPITAL ADVISORS LLC

PNC CAPITAL MARKETS LLC

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

ARETE WEALTH ADVISORS, LLC

ARETE WEALTH MANAGEMENT, LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

TRANSAMERICA FUND DISTRIBUTORS, INC.

PSI SECURITIES CORPORATION

INTEGRATED RESOURCES EQUITY CORPORATION

SOUTHMARK FINANCIAL SERVICES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

TRITONPOINT PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/8/1995

Series 63

Date: 8/14/1984

SIE

Date: 10/1/2018

Series 31

Date: 8/24/2004

Series 7

Date: 7/21/1984

Series 9

Date: 1/27/2003

Series 10

Date: 1/24/2003

Series 24

Date: 6/8/2001

Current Firm

TRITONPOINT PARTNERS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRITONPOINT PARTNERS, LLC

TRUST BUT VERIFY

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