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Samuel D. Hughes

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CRD#: 1928041
SH

Professional summary

Samuel Davis Hughes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Samuel is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Samuel had worked at 4 firms, which includes SPELMAN & CO. INC., WELLS FARGO CLEARING SERVICES LLC, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sam Hughes

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 28, 2000 - September 5, 2002

SPELMAN & CO., INC.

BD
CRD#: 10232
PHOENIX, AZ
Past

November 5, 1993 - April 4, 1997

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 31, 1993 - October 27, 1993

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 21, 1989 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/3/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/9/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 4/24/1989
National Commodity Futures Examination

Current Firm

S&
SPELMAN & CO., INC.
SPELMAN & CO INC | SPELMAN & CO., INCORPORATED | SPELMAN & CO., INC.

CRD#: 10232 / SEC#: , 8-26811

BD
Cancelled by SEC on 02/25/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 08/17/1981
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AIG ADVISOR GROUP, INC.OWNER
BOURDAMIS, SALLY HANSONVICE PRESIDENT, BROKERAGE SERVICES1812157
CANNON, JAMES RICHARDPRESIDENT,CEO,DIRECTOR1755987
CAPRIOTTI, JACQUELYN MARIEVICE PRESIDENT, VISION 20201575021
CAVANAUGH, MARY LOUISEDIRECTOR1977110
DENBY, SUSANNE MARIEVICE PRESIDENT, CHIEF COMPLIANCE OFFICER2617514
DORFMAN, KENNETH PAULCROP2460380
FIELDS, INGER WILSONFINOP1690043
FREEMAN, BRUCE TODDASSOCIATE VICE PRESIDENT, MUNICIPAL PRINCIPAL2451499
GAUGHAN, BRIDGET MARYEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY2691949
GAUGHAN, BRIDGET MARYDIRECTOR2691949
KUBICA, LISA SUEEXECUTIVE VICE PRESIDENT, SROP, MP1098488
MCREYNOLDS, MICHAEL RONALDASSISTANT VICE PRESIDENT, INSURANCE816602
PARKER, RALPH JOELASSISTANT VICE PRESIDENT, INSURANCE2587496
RADFORD, CHRISTOPHER BLAKESENIOR VICE PRESIDENT, NATIONAL SALES1564302
ROTHSTEIN, STEVEN ELLIOTDIRECTOR1292456
ROTHSTEIN, STEVEN ELLIOTEXECUTIVE VICE PRESIDENT, CFO/TREASURER1292456
SONCHIK, RITA LYNNVICE PRESIDENT, ACCOUNTING1865389
STAUFFER, RALPH OWEN JRVICE PRESIDENT, INFORMATION TECHNOLOGY3255670

Disclosures

Regulatory Event8
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SPELMAN & CO., INC.

CRD#: 10232

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