Thomas R. 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.
Thomas Richard Hughes was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 5 firms and has passed the Series 63, 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
September 15, 2008 - September 24, 2012
ROSENTHAL GLOBAL SECURITIES LLC
August 10, 2007 - September 10, 2008
GH TRADERS LLC
July 12, 2004 - February 16, 2007
GH TRADERS LLC
July 12, 1999 - May 26, 2004
NOMURA SECURITIES INTERNATIONAL, INC.
December 18, 1998 - March 31, 1999
CITIGROUP GLOBAL MARKETS INC.
March 29, 1988 - December 18, 1998
CITICORP 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
ROSENTHAL GLOBAL SECURITIES LLC
CRD#: 19721 / SEC#: , 8-38021
Contact information
Documents
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.
