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JH

Jeffrey J. Hughes

FIDELITY & GUARANTY SECURITIES
Des Moines, IA 50309
Some features on this profile are disabled
CRD#: 2176947
JH

Professional summary

Jeffrey John Hughes, who also goes by Jeff Hughes, is a registered financial professional currently at FIDELITY & GUARANTY SECURITIES, LLC located in Des Moines, Iowa.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1991. Jeffrey has worked at 10 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeff 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.
Fidelity and Guaranty Life; Not investment related; 801 GRAND AVE, SUITE 2600 DES MOINES, IA, UNITED STATES, 50309; Wholesaling Fixed Insurance Products; National Sales VP; Started 8/12/2019; 160 hours per month, 160 during trading hours; Wholesaling Fixed Insurance Products

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey John 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®
None

Experience

Current

March 30, 2023 - Present

FIDELITY & GUARANTY SECURITIES, LLC

Office #1: 801 Grand Ave, Suite 2600, Des Moines, IA 50309
BD
CRD#: 315720
Des Moines, IA
Past

April 29, 2020 - November 29, 2022

INTEGRITY ALLIANCE, LLC.

RIA
CRD#: 139627
Des Moines, IA
Past

April 28, 2020 - November 29, 2022

INTEGRITY ALLIANCE, LLC.

BD
CRD#: 139627
Des Moines, IA
Past

January 1, 2010 - June 3, 2019

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
ATLANTA, GA
Past

March 17, 2006 - January 1, 2010

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

RIA
CRD#: 109264
HOUSTON, TX
Past

May 10, 2001 - June 3, 2019

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
Whitehouse Station, NJ
Past

December 19, 1996 - January 2, 2001

OCC DISTRIBUTORS LLC

BD
CRD#: 18541
NEW YORK, NY
Past

February 5, 1996 - January 13, 1997

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

September 10, 1993 - August 25, 1994

MARKETING ONE SECURITIES, INC.

BD
CRD#: 16611
PORTLAND, OR
Past

August 28, 1992 - September 21, 1993

FLEET ENTERPRISES, INC.

BD
CRD#: 17434
NEW YORK, NY
Past

September 30, 1991 - August 10, 1992

DAVID LERNER ASSOCIATES, INC.

BD
CRD#: 5397
SYOSSET, NY

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
Iowa
(4/20/2023)
RR
New Jersey
(9/12/2023)
RR
Virginia
(1/2/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/16/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/10/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/26/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 9/22/2017
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/29/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

F&
FIDELITY & GUARANTY SECURITIES, LLC
FIDELITY & GUARANTY SECURITIES CORP. | FIDELITY & GUARANTY SECURITIES, LLC

CRD#: 315720 / SEC#: , 8-70916

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
801 Grand Ave. Suite 2600, Des Moines, IA 50309
Mailing Address
801 Grand Ave. Suite 2600, Des Moines, IA 50309
Phone number
+1 (888) 697-5433
Established
Delaware since 08/16/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIDELITY & GUARANTY LIFE INSURANCE COMPANYDIRECT OWNER
ANDERSON, STEPHEN FRANCISCHIEF COMPLIANCE OFFICER AND AML OFFICER1181095
BARRETT, RONALD JOHN JRDIRECTOR2480222
CANTONWINE, TESSA ELIZABETHSECRETARY5626630
OLSON, THOMAS GCHIEF EXECUTIVE OFFICE AND DIRECTOR2393888
PHELPS, JOHN ADIRECTOR5664815
RIP, OLGAFINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER5440553

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.

Company Information

FIDELITY & GUARANTY SECURITIES, LLC

CRD#: 315720Des Moines, IA 50309

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