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JH

John Francis Hughes

CRD# 1399341·Registered 1985 - 2023
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Francis Hughes, who also goes by Jack Hughes, John Francis Hughes, John F Hughes, John Hughes, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1985 - 2023. John had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 6, Series 27 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jack Hughes, John Francis Hughes, John F Hughes, John Hughes

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

41 years in the financial services industry

Current & Past Employments

IAFF-FC INVESTMENTS LLC·CRD# 318120
BD
Washington, DC
September 29, 2022 - January 24, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Portsmouth, NH
June 3, 2020 - August 31, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Portsmouth, NH
June 3, 2020 - August 31, 2021
EDWARD JONES·CRD# 250
RIA
York, ME
March 9, 2020 - April 14, 2020
EDWARD JONES·CRD# 250
BD
St. Louis, MO
March 9, 2020 - April 14, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Portsmouth, NH
August 22, 2019 - December 20, 2019
HAMERSLEY PARTNERS LLC·CRD# 131134
BD
Boston, MA
January 8, 2019 - July 25, 2019
HUNTWICKE SECURITIES, LLC·CRD# 146993
BD
Topsfield, MA
May 7, 2018 - July 12, 2018
NYLIFE SECURITIES LLC·CRD# 5167
BD
Waltham, MA
October 7, 2016 - February 15, 2017
AVATAR SECURITIES, LLC·CRD# 147763
BD
New York, NY
April 19, 2016 - May 18, 2016
BEANPOT FINANCIAL SERVICES, INC.·CRD# 39549
BD
Winnetka, IL
August 23, 1996 - December 1, 2014
PFS INVESTMENTS INC.·CRD# 10111
BD
August 27, 1985 - January 29, 1987

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Current Firm

II
IAFF-FC INVESTMENTS LLC

IAFF FINANCIAL CORPORATION INVESTMENTS, LLC | IAFF-FC INVESTMENTS LLC

CRD#: 318120 / SEC#: 8-70884
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Contact Information

Main Address

1750 New York Avenue Nw Suite 300, Washington, DC 20006

Mailing Address

1750 New York Avenue Nw Suite 300, Washington, DC 20006

Phone Number

(202) 737-1125

Established

Delaware since 12/06/2021

Firm Type

Limited Liability Company

Fiscal Year End

September

Firm Size

Small

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
IAFF FINANCIAL CORPORATIONMEMBER—
BARENBOIM, LEONARDCCO, AMLCO1523181
GEORGE, CHRISTOPHER MFINOP6084415
WESTCOTT, ALLAN FREDERICKCEO1052787

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2020About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1996About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Jul 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Jun 2000About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Dec 1995About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Aug 1985About the Series 6 exam

Series 27 — Financial and Operations Principal Examination

Passed Jun 1996About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Jan 1996About the Series 24 exam

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CRS (Client Relationship Summary)

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

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