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PH

Patrick T. Hughes

FNEX CAPITAL
Indianapolis, IN 46204
Some features on this profile are disabled
CRD#: 1938860
PH

Professional summary

Patrick Thomas Hughes, who also goes by Pat Hughes, Patrick Thomas Hughes, is a registered financial professional currently at FNEX CAPITAL, LLC located in Indianapolis, Indiana.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 1989. Patrick has worked at 8 firms and has passed the Series 63, Series 6TO, SIE, Series 3, Series 7, Series 6 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pat Hughes | Patrick Thomas 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) - BD

Click below to view Patrick Thomas Hughes's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 8, 2023 - Present

FNEX CAPITAL, LLC

Office #1: One Indiana Square Suite 2252, Indianapolis, IN 46204
BD
CRD#: 166316
Indianapolis, IN
Past

December 15, 2021 - January 5, 2023

FORGE SECURITIES LLC

BD
CRD#: 134596
SAN FRANCISCO, CA
Past

January 30, 2020 - October 12, 2021

FORGE MARKETS LLC

BD
CRD#: 166555
San Francisco, CA
Past

February 2, 2017 - April 5, 2018

OPUS FINANCIAL PARTNERS, LLC

BD
CRD#: 172146
San Francisco, CA
Past

July 17, 2014 - April 3, 2015

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
STAMFORD, CT
Past

May 4, 2011 - April 28, 2014

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
SAN MATEO, CA
Past

September 30, 2009 - April 11, 2011

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
SAN FRANCISCO, CA
Past

April 25, 1989 - June 26, 1989

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784

State Registrations and Notice Filings

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

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
(12/8/2023)
RR
New York
(4/16/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/7/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/5/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/29/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/24/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 1/8/2015
NFA Branch Manager Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FNEX, LLCMEMBER
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753
TEUFEL, FREDERICK CHARLESFINOP2092408

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.

Company Information

FNEX CAPITAL, LLC

CRD#: 166316Indianapolis, IN 46204

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