Alan S. Hughes

CETERA INVESTMENT ADVISERS

Bradenton, FL

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CRD#: 1339673

Professional summary

Alan Sanford Hughes is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bradenton, Florida and CETERA WEALTH SERVICES, LLC located in Mystic, Connecticut.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Alan has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

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

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

December 8, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 11 Main Street, Suite 214, Mystic, CT 06355Office #3: 13a Terry Lane, Chepachet, RI 02814

RIA

CRD#: 105644

Bradenton, FL

Current

December 8, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 11 Main Street Suite 214, Mystic, CT 06355Office #2: 13a Terry Lane, Chepachet, RI 02814

CRD#: 13572

Mystic, CT

Past

May 24, 2004 - December 26, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHEPATCHET, RI

Past

May 24, 2004 - December 26, 2025

LPL FINANCIAL LLC

CRD#: 6413

CHEPATCHET, RI

Past

October 26, 1994 - June 10, 2004

WS GRIFFITH SECURITIES, INC.

RIA

CRD#: 10410

WALTHAM, MA

Past

March 15, 1993 - June 10, 2004

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

March 28, 1985 - March 15, 1993

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(12/8/2025)

Arizona
(12/8/2025)

California
(12/8/2025)

Colorado
(12/8/2025)

Connecticut
(12/8/2025)

IAR

Connecticut
(12/8/2025)

Delaware
(12/8/2025)

District of Columbia
(12/8/2025)

Florida
(12/8/2025)

IAR

Florida
(12/12/2025)

Georgia
(12/8/2025)

Illinois
(12/8/2025)

Indiana
(12/8/2025)

Maine
(12/8/2025)

Maryland
(12/8/2025)

Massachusetts
(12/8/2025)

Michigan
(12/8/2025)

Minnesota
(12/8/2025)

Missouri
(12/8/2025)

Montana
(12/8/2025)

Nevada
(12/8/2025)

New Hampshire
(12/8/2025)

New Jersey
(12/8/2025)

New York
(12/8/2025)

North Carolina
(1/2/2026)

Ohio
(12/9/2025)

Oklahoma
(12/8/2025)

Oregon
(12/8/2025)

Pennsylvania
(12/8/2025)

Rhode Island
(12/8/2025)

IAR

Rhode Island
(12/8/2025)

South Carolina
(12/8/2025)

Tennessee
(1/12/2026)

Texas
(12/8/2025)

IAR

Texas
(12/8/2025)

Utah
(12/8/2025)

Vermont
(12/8/2025)

Virginia
(12/8/2025)

Washington
(3/12/2026)

Wyoming
(12/8/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/23/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/25/2001

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/27/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/26/1985

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Alan S. Hughes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WS GRIFFITH SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/23/1987

SIE

Date: 10/1/2018

Series 7

Date: 7/25/2001

Series 22

Date: 11/27/1985

Series 6

Date: 3/26/1985

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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