Randall Hughes

IRC SECURITIES LLC

New York, NY 10170

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CRD#: 1317639

Professional summary

Randall Hughes, who also goes by Randy Hughes, is a registered financial professional currently at IRC SECURITIES LLC located in New York, New York.

Randall is registered as a RR (Registered Representative) and started their career in finance in 1985. Randall has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Randy Hughes

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) - BD

Click below to view Randall Hughes's CRS (Customer Relationship Summary).

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

Current

May 14, 2015 - Present

IRC SECURITIES LLC

Office #1: 420 Lexington Avenue Suite 300, New York, NY 10170

CRD#: 150022

New York, NY

Past

August 30, 2012 - November 11, 2013

WEDBUSH SECURITIES INC.

CRD#: 877

NEW YORK, NY

Past

February 27, 2012 - July 19, 2012

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

October 1, 2007 - January 17, 2012

WJB CAPITAL GROUP, INC.

CRD#: 37334

NEW YORK, NY

Past

July 12, 2005 - June 29, 2007

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

April 20, 2004 - June 9, 2005

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

December 22, 1998 - April 16, 2004

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

November 28, 1997 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

March 26, 1992 - December 17, 1998

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 23, 1985 - February 28, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(5/14/2015)

Exams

State Security Law Exam

Series 63

Date: 5/7/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/16/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/19/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 12/17/2001

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

IRC SECURITIES LLC

INVESTMENT RESEARCH CONSORTIUM SECURITIES LLC | IRC SECURITIES LLC

CRD#: 150022 / SEC#: , 8-68208

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

420 Lexington Avenue Suite 300, New York, NY 10170

Mailing Address

420 Lexington Avenue Suite 300, New York, NY 10170

Phone number

(646) 355-0940

Established

Delaware since 06/30/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
INVESTMENT RESEARCH CONSORTIUM	100% OWNER
COOPER, NANCY JOAN	FINANCIAL OPERATIONS PRINCIPAL	4029120
O'DAY, BRIAN THOMAS	CEO/PRESIDENT/CCO	1331173

Disclosures

Regulatory Event

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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Randall Hughes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Randall Hughes's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEDBUSH SECURITIES INC.

OPPENHEIMER & CO. INC.

WJB CAPITAL GROUP, INC.

JEFFERIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

UBS SECURITIES LLC

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/7/1987

SIE

Date: 10/1/2018

Series 3

Date: 3/16/1998

Series 7

Date: 1/19/1985

Series 4

Date: 12/17/2001

FINRA

Current Firm

IRC SECURITIES LLC

Contact information

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

IRC SECURITIES LLC

TRUST BUT VERIFY

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