Frederick W. 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.
Frederick William Hughes, who also goes by Fred Hughes Sr, Frederick William Hughes Sr, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1987. Frederick had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2013 - October 31, 2014
CAPE SECURITIES INC.
July 28, 2011 - October 7, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 8, 2001 - August 22, 2011
ALLSTATE FINANCIAL SERVICES, LLC
June 22, 1987 - February 2, 2001
PRINCIPAL SECURITIES, INC.
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
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
