JH
James Hughes
TOTAL INVESTMENT MANAGEMENT
Plantation, FL
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CRD#: 2054096
JH
Professional summary
James Hughes, AIF®, CFP®, who also goes by James Nmn Hughes, is a registered financial advisor currently at TOTAL INVESTMENT MANAGEMENT, INC. located in Plantation, Florida.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. James has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Nmn 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.
CRS (Client Relationship Summary) - RIA
Click below to view James Hughes's 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®
CFP®
Start date: 2002
Experience
Current
October 31, 2005 - Present
TOTAL INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 108818
Plantation, FL
Past
November 4, 2005 - November 11, 2008
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
SCOTTSDALE, AZ
Past
November 1, 2005 - November 11, 2008
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
SCOTTSDALE, AZ
Past
October 31, 2005 - November 7, 2005
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
December 15, 1998 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
June 18, 1992 - October 19, 1998
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
May 22, 1990 - June 25, 1992
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TI
TOTAL INVESTMENT MANAGEMENT, INC.
HFG ASSET ALLOCATION SERVICE | TOTAL INVESTMENT MANAGEMENT, INC. | TOTAL INVESTMENT MANAGEMENT INC
CRD#: 108818 / SEC#: 801-69759
RIA
Registered Investment Advisory firm - (12/5/2008 Approved)Arizona
Registered Investment Advisory firm - (12/8/2008 Terminated)California
Registered Investment Advisory firm - (12/9/2008 Terminated)Colorado
Registered Investment Advisory firm - (12/23/2008 Terminated)Illinois
Registered Investment Advisory firm - (12/5/2008 Terminated)Nevada
Registered Investment Advisory firm - (12/16/2008 Terminated)Ohio
Registered Investment Advisory firm - (12/8/2008 Terminated)Texas
Registered Investment Advisory firm - (12/8/2008 Terminated)Virginia
Registered Investment Advisory firm - (12/8/2008 Terminated)Washington
Registered Investment Advisory firm - (12/8/2008 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arizona(10/31/2005)
IAR
Florida(5/1/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
TI
TOTAL INVESTMENT MANAGEMENT, INC.
HFG ASSET ALLOCATION SERVICE | TOTAL INVESTMENT MANAGEMENT, INC. | TOTAL INVESTMENT MANAGEMENT INC
CRD#: 108818 / SEC#: 801-69759
RIA
Registered Investment Advisory firm - (12/5/2008 Approved)Arizona
Registered Investment Advisory firm - (12/8/2008 Terminated)California
Registered Investment Advisory firm - (12/9/2008 Terminated)Colorado
Registered Investment Advisory firm - (12/23/2008 Terminated)Illinois
Registered Investment Advisory firm - (12/5/2008 Terminated)Nevada
Registered Investment Advisory firm - (12/16/2008 Terminated)Ohio
Registered Investment Advisory firm - (12/8/2008 Terminated)Texas
Registered Investment Advisory firm - (12/8/2008 Terminated)Virginia
Registered Investment Advisory firm - (12/8/2008 Terminated)Washington
Registered Investment Advisory firm - (12/8/2008 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9383 East Bahia Drive Suite 120, Scottsdale, AZ 85260
Mailing Address
Phone number
(480) 998-5735
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,228 |
| AUM (Assets Under Management) | $ 1,282,436,377 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/29/2025 | ||
| 08/12/2024 | ||
| 04/27/2023 |
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.
