TH
Timothy J. Hughes
STRATEGAS SECURITIES DBA STRATEGAS RESEARCH PARTNERS
New York, NY 10017
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CRD#: 2095074
TH
Professional summary
Timothy James Hughes is a registered financial professional currently at STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS located in New York, New York.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 1990. Timothy has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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) - BD
Click below to view Timothy 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®
NoneExperience
Current
February 18, 2010 - Present
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
Office #1: 52 Vanderbilt Avenue 8th Floor, New York, NY 10017Office #2: 52 Vanderbilt Avenue 19th Floor, New York, NY, 10017RIA
BD
CRD#: 149326
New York, NY
Past
July 13, 2005 - October 30, 2009
NATIXIS SECURITIES AMERICAS LLC
BD
CRD#: 1101
NEW YORK, NY
Past
May 7, 2004 - May 6, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 9, 2002 - April 30, 2004
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
September 6, 1996 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
Past
July 7, 1992 - April 19, 1996
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
NEW YORK, NY
Past
September 17, 1990 - June 22, 1992
DEALERWEB LLC
BD
CRD#: 19662
JERSEY CITY, NJ
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".
SS
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC | STRATEGAS SECURITIES LLC | STRATEGAS RESEARCH PARTNERS, LLC
CRD#: 149326 / SEC#: 801-116875, 8-68138
RIA
Registered Investment Advisory firm - SEC (6/28/2019 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Alabama(6/22/2011)
RR
California(2/11/2014)
RR
Connecticut(4/16/2010)
RR
Delaware(8/14/2014)
RR
District of Columbia(11/15/2010)
RR
Georgia(6/22/2011)
RR
Illinois(4/26/2010)
RR
Massachusetts(11/15/2010)
RR
New York(2/18/2010)
RR
Ohio(7/14/2010)
RR
Oklahoma(6/22/2011)
RR
Pennsylvania(11/15/2010)
RR
Tennessee(8/14/2014)
RR
Texas(7/9/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/20/1998
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC | STRATEGAS SECURITIES LLC | STRATEGAS RESEARCH PARTNERS, LLC
CRD#: 149326 / SEC#: 801-116875, 8-68138
RIA
Registered Investment Advisory firm - SEC (6/28/2019 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
52 Vanderbilt Avenue 19th Floor 19th Floor, New York, NY, 10017
Mailing Address
52 Vanderbilt Avenue 19th Floor, New York, NY, 10017
Phone number
(646) 292-7950
Established
New York since 12/06/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
47
SEC notice filing (2 States and Territories)
FINRA licenses (16 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| ANTHONY, DANNELL WAYNE | FINOP, DIRECTOR OF FINANCE | 7038021 |
| BOHNSACK, NICHOLAS GREGORY | PRESIDENT / COO | 4571796 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| GABAY, EILEEN MARGARET | CHIEF OPERATING OFFICER | 5602349 |
| LANGENFELD, JON A | DIRECTOR | 4322120 |
| LOGUE, SOFIA | CHIEF COMPLIANCE OFFICER | 6406784 |
| RISSMILLER, DONALD JAMES | VICE CHAIRMAN / PRINCIPAL | 5227351 |
| TOTORO, MICHAEL A | CHIEF TECHNOLOGY OFFICER | 1552053 |
| TRENNERT, JASON RICHARD | CHAIRMAN / CEO | 2079457 |
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.
