David C. 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.
David Charles Hughes was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 6 firms and has passed the Series 63, Series 7, Series 62, Series 4, Series 27, Series 8, 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
January 18, 2010 - April 29, 2014
HUNTER SCOTT FINANCIAL LLC.
June 11, 2001 - March 18, 2008
JVB FINANCIAL GROUP, LLC
November 20, 2000 - June 20, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
December 2, 1999 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
May 27, 1994 - November 12, 1999
JW GENESIS CLEARING CORP.
June 2, 1993 - March 1, 1994
JW GENESIS CLEARING CORP.
July 6, 1989 - July 30, 1991
ROYCE INVESTMENT GROUP, 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
Series 62
Date: 7/5/1989
Corporate Securities Limited Representative ExaminationSeries 8
Date: 6/11/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HUNTER SCOTT FINANCIAL LLC.
CRD#: 45559 / SEC#: , 8-51097
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
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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