Peter J. Mchugh
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.
Peter James Mchugh was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1987. Peter had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2019 - November 3, 2020
CENTRAL STATES CAPITAL MARKETS, LLC
April 11, 1996 - December 31, 2016
AMERICAN CENTURY INVESTMENT SERVICES INC.
December 3, 1993 - July 10, 1995
RAFFENSPERGER, HUGHES & CO., INC.
May 11, 1991 - November 30, 1993
METROPOLITAN LIFE INSURANCE COMPANY
May 11, 1991 - November 30, 1993
MSI FINANCIAL SERVICES, INC.
December 7, 1987 - February 26, 1991
KIDDER, PEABODY & CO. 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: 1/7/2024
General Securities Representative ExaminationCurrent Firm
CENTRAL STATES CAPITAL MARKETS, LLC
CRD#: 155291 / SEC#: 801-79295, 8-68711
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLASSEN, MARK K | MEMBER | 6886821 |
| CENTRAL STATES FINANCIAL SERVICES, LLC | HOLDING COMPANY; MEMBER | |
| YOUNG, ROBERT MORRIS JR | CHAIRMAN & CCO | 501297 |
| ADDISON, LAURIE ANNE | CHIEF FINANCIAL OFFICER & FINOP | 7488882 |
| HORTON, MICHAEL ALAN | DIRECTOR, BRANCH MANAGER | 1041106 |
| STEPP, JOHN DANIEL | MANAGING DIRECTOR, CEO; ELECTED MANAGER | 501417 |
Regulatory assets under management
| Total Number of Accounts | 38 |
| AUM (Assets Under Management) | $ 27,936,117 |
Disclosures
| Regulatory Event | 6 |
| Criminal | 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.
