Richard D. 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.
Richard Drew Hughes was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 23 firms and has passed the Series 63, Series 65, Series 7TO, 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
June 17, 2021 - October 10, 2021
FIRST COMMAND BROKERAGE SERVICES, INC.
June 16, 2021 - October 10, 2021
FIRST COMMAND ADVISORY SERVICES
June 23, 2020 - June 14, 2021
CONFIDENCE WEALTH MANAGEMENT, INC.
July 10, 2019 - June 22, 2020
WEALTHCARE CAPITAL MANAGEMENT LLC
January 14, 2019 - June 19, 2019
MUTUAL SECURITIES, INC.
July 13, 2018 - June 24, 2019
EMPENNAGE WEALTH PARTNERS, LLC
March 4, 2016 - December 5, 2016
ALMANACK INVESTMENT PARTNERS
June 26, 2015 - January 25, 2017
SPIRE SECURITIES, LLC
June 10, 2015 - March 2, 2016
SPIRE WEALTH MANAGEMENT, LLC
February 3, 2014 - January 14, 2015
EDELMAN FINANCIAL SERVICES, LLC
February 3, 2014 - January 14, 2015
SANDERS MORRIS LLC
January 13, 2012 - September 28, 2012
MERCAP SECURITIES, LLC
January 3, 2012 - September 28, 2012
MERION WEALTH PARTNERS, LLC
September 13, 2007 - December 31, 2009
PORTFOLIO BROKERAGE SERVICES, INC.
August 10, 2007 - December 31, 2009
ENVESTNET PMC
March 31, 2005 - March 13, 2006
GLOBAL EMERGING CAPITAL GROUP, LLC
June 10, 2004 - January 19, 2005
1838 INVESTMENT ADVISORS,LP
January 1, 1998 - January 2, 2004
NUVEEN SECURITIES, LLC
December 21, 1994 - November 4, 1997
HAVERFORD TRUST SECURITIES, INC.
December 7, 1992 - January 6, 2004
RITTENHOUSE ASSET MANAGEMENT, INC.
October 10, 1990 - December 10, 1992
HAVERFORD TRUST SECURITIES, INC.
May 3, 1989 - December 22, 1989
PHILADELPHIA INVESTORS, LTD.
January 14, 1987 - May 24, 1989
LAVERELL, REYNOLDS SECURITIES, INC.
May 23, 1985 - January 1, 1987
LEGG MASON WOOD WALKER, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
FIRST COMMAND BROKERAGE SERVICES, INC.
CRD#: 3641 / SEC#: , 8-7072
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMAND FINANCIAL SERVICES, INC. | STOCKHOLDER/OWNER | |
| CADDELL, TINA KATHERINE | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 3041675 |
| CERBONE, HEIDI ELIZABETH | VICE PRESIDENT AND TREASURER | 5734664 |
| CHARTAN, ERIC | SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER | 4809520 |
| GRIFFIN, CASEY JAMES | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 3124214 |
| HUBKA, MEEGHAN LYNNE | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER (FINOP) | 5859322 |
| RICHTER, KELLEEN MARIE | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 2098017 |
| SMITH, FRANK DEAN | SENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER | 6005160 |
| STEFFE, MARK DUANE | PRESIDENT/CEO | 2204689 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
