Thomas E. 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 Edward Hughes, who also goes by Tom Hughes, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 53 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 5, 2000 - September 12, 2016
NEW HORIZONS ASSET MANAGEMENT GROUP, LLC
September 12, 1997 - June 1, 2000
HUDSON TRADER BROKERAGE SERVICES, INC.
December 19, 1995 - October 24, 1997
ESSEX NATIONAL SECURITIES, LLC
June 4, 1992 - January 30, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
September 30, 1991 - June 1, 1992
UNITED PACIFIC FINANCIAL SERVICES, INC.
January 3, 1989 - September 27, 1991
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NEW HORIZONS ASSET MANAGEMENT GROUP, LLC
CRD#: 103340 / SEC#: , 8-52174
Contact information
Red Flags
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