Timothy W. 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.
Timothy William Hughes, who also goes by Tim William Hughes, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1990. Timothy had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 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
September 1, 2016 - December 31, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 30, 2016 - December 31, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 7, 2009 - September 1, 2016
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
June 12, 2009 - September 1, 2016
LASALLE ST SECURITIES, L.L.C.
May 17, 2005 - June 16, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2005 - June 16, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2003 - May 19, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - May 19, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 16, 1996 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 16, 1991 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 24, 1990 - June 26, 1991
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
