Elizabeth S. 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.
Elizabeth Stirling Hughes, who also goes by Elizabeth Stirling Sims, Elizabeth Diane Stirling, Elizabeth Stirling, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1990. Elizabeth had worked at 8 firms and has passed the Series 65, Series 63, SIE, 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
January 2, 2013 - December 13, 2016
FIRST KENTUCKY SECURITIES CORPORATION
February 22, 2010 - December 31, 2012
FIRST KENTUCKY SECURITIES CORPORATION
February 22, 2010 - December 13, 2016
FIRST KENTUCKY SECURITIES CORPORATION
November 13, 2009 - February 22, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - February 22, 2010
PNC WEALTH MANAGEMENT LLC
April 5, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
April 5, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
January 8, 2004 - April 19, 2007
UBS FINANCIAL SERVICES INC.
March 7, 2003 - April 19, 2007
UBS FINANCIAL SERVICES INC.
January 4, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
August 3, 1998 - January 4, 1999
IFMG SECURITIES, INC.
June 1, 1996 - March 12, 2003
NATCITY INVESTMENTS, INC.
May 26, 1994 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
June 21, 1990 - June 1, 1996
NATIONAL CITY INVESTMENTS CORPORATION
Primary Firm SEC Registration
FIRST KENTUCKY SECURITIES CORPORATION
CRD#: 7524 / SEC#: 801-67742, 8-22224
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
FIRST KENTUCKY SECURITIES CORPORATION
CRD#: 7524 / SEC#: 801-67742, 8-22224
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (47 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KRAMER, RAYMOND STRAND JR | BRANCH MANAGER/ MUNI PRINCIPAL/ BOARD MEMBER | 1053345 |
| OCONNOR, KEVIN PATRICK | SENIOR VICE PRESIDENT/BOARD MEMBER | 1250514 |
| CURRENT, TYLER DARRELL | VICE PRESIDENT/BOARD MEMBER | 5363467 |
| OCONNOR, RYAN PATRICK | CFO/ CEO/ BRANCH MANAGER/ BOARD MEMBER | 5337922 |
| HARRISON, CHRISTINA JONES | VICE PRESIDENT/ SHAREHOLDER | 1171516 |
| HOWELL, JUDY ELIZABETH | SHAREHOLDER | 1634346 |
| JENNINGS, MARY JANE | VICE PRESIDENT/ SECRETARY/ SHAREHOLDER | 1850902 |
| KRAMER, FREDERICK JENNINGS | REGISTERED REPRESENTATIVE | 2299599 |
| NICHOLSON, ANN MARIE | CCO | 2449342 |
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 566,003,046 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
