Michael P. 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.
Michael P Hughes JR, who also goes by Michael P Hughes Jr, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2024 - January 16, 2026
TRADEWEB DIRECT LLC
January 31, 2014 - April 22, 2024
COHEN & COMPANY SECURITIES, LLC
October 31, 2011 - January 31, 2014
JVB FINANCIAL GROUP, LLC
May 24, 2011 - January 30, 2012
CERT DIRECT SECURITIES INC.
January 10, 2002 - June 23, 2009
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
November 6, 2001 - June 23, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 7, 1998 - May 12, 2001
MORGAN STANLEY & CO. LLC
January 24, 1989 - December 10, 1998
MORGAN STANLEY DW 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
TRADEWEB DIRECT LLC
CRD#: 103787 / SEC#: , 8-52278
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BONDDESK GROUP LLC | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CAHALANE, JOHN JOSEPH | PRESIDENT | 2922033 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| FRIEDMAN, DOUGLAS L. | GENERAL COUNSEL | 5121291 |
| MCGUIRE, MICHAEL TERRENCE | CHIEF COMPLIANCE OFFICER | 2267871 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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