Richard S. 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 Stephen Hughes, who also goes by Richard Steven Hughes, Steve Hughes, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2016 - June 1, 2018
SUMMIT FINANCIAL GROUP INC
November 4, 2016 - June 1, 2018
SUMMIT BROKERAGE SERVICES, INC.
October 7, 2011 - October 25, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 7, 2011 - October 25, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 31, 2006 - October 10, 2011
EDWARD JONES
September 19, 1997 - October 10, 2011
EDWARD JONES
August 1, 1994 - August 26, 1997
ALLSTATE FINANCIAL SERVICES, LLC
February 19, 1993 - August 16, 1994
IFMG SECURITIES, INC.
September 22, 1986 - September 11, 1991
RELIASTAR FINANCIAL MARKETING CORP.
State Registrations and Notice Filings
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Exams
Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
Red Flags
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