DH
Dell R. Hughes
CL WEALTH MANAGEMENT LLC
Broken Arrow, OK
Some features on this profile are disabled
CRD#: 1804123
DH
Professional summary
Dell Raymond Hughes is a registered financial advisor currently at CL WEALTH MANAGEMENT LLC located in Broken Arrow, Oklahoma and CABOT LODGE SECURITIES LLC located in Broken Arrow, Oklahoma.
Dell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Dell has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) TRACK GUYS, LLC, BUSINESS MANAGER, PUT ON PERFORMANCE DRIVING EVENTS, 01/2007, NOT INVESTMENT RELATED, BROKEN ARROW, OK. 5 HOURS PER MONTH DURING NON-TRADING HOURS AND ZERO HOURS A MONTH DURING TRADING HOURS, NO COMPENSATION, SETS UP REGISTRATION WEBSITES, Q&A, SOLVES ISSUES, NEGOTIATE AND SIGN CONTRACTS FOR VENUES AND OTHER PARTS OF THE EVENTS, PAY ALL BILLS.
2) DESTINY FINANCIAL SERVICES-DBA-ADVISORY AND INSURANCE BUSINESS, INVESTMENT RELATED, AGENT/OWNER BROKEN ARROW, OK 25 HOURS PER MONTH, 2 HOURS PER MONTH DURING TRADING HOURS.
3) HALLETT MOTOR RACING CIRCUIT, NON-INVESTMENT RELATED, JENNINGS, OK, PRIVATE BUSINESS, CORNER WORKER/MARSHALL, 3/2018, 100 HOURS PER MONTH, 8 HOURS PER MONTH DURING TRADING HOURS, CORNER WORKER/MARSHALL FOR AUTO AND MOTORCYCLE RACING AND TRAINING EVENTS. THIS IS A SAFETY POSITION.
4) THE QUANTUM GROUP, USA, INC, WRITING FIXED ANNUITY WITH NATIONAWIDE, INVESTMENT RELATED, SCOTTSDALE, AZ, AGENT, 9/2020, FIVE HOURS PER MONTH, 2 HOURS DURING TRADING HOURS, SALES OF FIXED INDEXED ANNUITY PRODUCT AND SERVICING EXISTING CLIENTS WHO OWN THE ANNUITY.
CRS (Client Relationship Summary) - RIA
Click below to view Dell Raymond Hughes's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 27, 2017 - Present
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
Broken Arrow, OK
Current
May 30, 2017 - Present
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
Broken Arrow, OK
Past
September 29, 2006 - June 27, 2017
WILBANKS SECURITIES ADVISORY
RIA
CRD#: 118304
BROKEN ARROW, OK
Past
January 14, 2002 - June 27, 2017
WILBANKS SECURITIES, INC.
BD
CRD#: 40673
JENKS, OK
Past
July 11, 1999 - November 30, 2001
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
September 12, 1995 - May 18, 1999
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
May 25, 1988 - August 24, 1995
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 25, 1988 - August 24, 1995
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CW
CL WEALTH MANAGEMENT LLC
ALLIED BEACON WEALTH MANAGEMENT, LLC | WARNEFORD WEALTH MANAGEMENT, LLC | WADDELL WEALTH MANAGEMENT, LLC | URBAN WEALTH ADVISORS, LLC | TWEED FINANCIAL SERVICES, INC | STRATEGIC ADVANTAGE FINANCIAL | SCHULZ FINANCIAL MANAGEMENT | SAN MARINO INVESTMENT SERVICES | SABER WEALTH MANAGEMENT | RPG WEALTH MANAGEMENT, INC | RETIREMENT PLANNING STRATEGIES | PREMIER LEGACY WEALTH MANAGEMENT | PIVOTAL WEALTH MANAGEMENT | NEIGHBORHOOD FINANCIAL SOLUTIONS | MAROON WEALTH MANAGEMENT | LEADING EDGE FINANCIAL GROUP | INTEGRATED PLANNING ASSOCIATES, INC | HEART STRONG WEALTH PLANNING | HASZ FINANCIAL | GARDINER PRIVATE WEALTH MANAGEMENT | FUTURE MATTERS INC | FINGERLAKE SECURITIES, LLC | DOIRON WEALTH MANAGEMENT, LLC | DESTINY FINANCIAL SERVICES | CUPROSPER | CORNERSTONE WEALTH MANAGEMENT | CL WEALTH MANAGEMENT LLC | CENTURIAN WEALTH MANAGEMENT | CBS ADVISORS, LLC | C L WEALTH MANAGEMANT LLC | BRIDGEPORT INVESTMENTS,LLC | BESSETTE FINANCIAL SERVICES | BEACON FINANCIAL SERVICES
CRD#: 134922 / SEC#: 801-72701
RIA
Registered Investment Advisory firm - (10/4/2011 Approved)Arizona
Registered Investment Advisory firm - (12/31/2009 Terminated)Colorado
Registered Investment Advisory firm - (11/4/2011 Terminated)Connecticut
Registered Investment Advisory firm - (1/13/2012 Terminated)Florida
Registered Investment Advisory firm - (10/6/2011 Terminated)Georgia
Registered Investment Advisory firm - (10/12/2011 Terminated)Illinois
Registered Investment Advisory firm - (10/4/2011 Terminated)Iowa
Registered Investment Advisory firm - (10/6/2011 Terminated)Maryland
Registered Investment Advisory firm - (10/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2010 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2009 Terminated)Virginia
Registered Investment Advisory firm - (10/17/2011 Terminated)West Virginia
Registered Investment Advisory firm - (10/6/2011 Terminated)Wisconsin
Registered Investment Advisory firm - (10/6/2011 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/30/2017)
IAR
California(7/16/2019)
RR
North Carolina(11/14/2024)
RR
Oklahoma(6/6/2017)
IAR
Oklahoma(6/27/2017)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CL WEALTH MANAGEMENT LLC
ALLIED BEACON WEALTH MANAGEMENT, LLC | WARNEFORD WEALTH MANAGEMENT, LLC | WADDELL WEALTH MANAGEMENT, LLC | URBAN WEALTH ADVISORS, LLC | TWEED FINANCIAL SERVICES, INC | STRATEGIC ADVANTAGE FINANCIAL | SCHULZ FINANCIAL MANAGEMENT | SAN MARINO INVESTMENT SERVICES | SABER WEALTH MANAGEMENT | RPG WEALTH MANAGEMENT, INC | RETIREMENT PLANNING STRATEGIES | PREMIER LEGACY WEALTH MANAGEMENT | PIVOTAL WEALTH MANAGEMENT | NEIGHBORHOOD FINANCIAL SOLUTIONS | MAROON WEALTH MANAGEMENT | LEADING EDGE FINANCIAL GROUP | INTEGRATED PLANNING ASSOCIATES, INC | HEART STRONG WEALTH PLANNING | HASZ FINANCIAL | GARDINER PRIVATE WEALTH MANAGEMENT | FUTURE MATTERS INC | FINGERLAKE SECURITIES, LLC | DOIRON WEALTH MANAGEMENT, LLC | DESTINY FINANCIAL SERVICES | CUPROSPER | CORNERSTONE WEALTH MANAGEMENT | CL WEALTH MANAGEMENT LLC | CENTURIAN WEALTH MANAGEMENT | CBS ADVISORS, LLC | C L WEALTH MANAGEMANT LLC | BRIDGEPORT INVESTMENTS,LLC | BESSETTE FINANCIAL SERVICES | BEACON FINANCIAL SERVICES
CRD#: 134922 / SEC#: 801-72701
RIA
Registered Investment Advisory firm - (10/4/2011 Approved)Arizona
Registered Investment Advisory firm - (12/31/2009 Terminated)Colorado
Registered Investment Advisory firm - (11/4/2011 Terminated)Connecticut
Registered Investment Advisory firm - (1/13/2012 Terminated)Florida
Registered Investment Advisory firm - (10/6/2011 Terminated)Georgia
Registered Investment Advisory firm - (10/12/2011 Terminated)Illinois
Registered Investment Advisory firm - (10/4/2011 Terminated)Iowa
Registered Investment Advisory firm - (10/6/2011 Terminated)Maryland
Registered Investment Advisory firm - (10/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2010 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2009 Terminated)Virginia
Registered Investment Advisory firm - (10/17/2011 Terminated)West Virginia
Registered Investment Advisory firm - (10/6/2011 Terminated)Wisconsin
Registered Investment Advisory firm - (10/6/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173
Mailing Address
Phone number
(212) 388-6200
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,073 |
| AUM (Assets Under Management) | $ 628,729,517 |
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.
