Daniel G Hughes
Professional Summary
Daniel G Hughes, who also goes by Daniel Gordon Hughes, Daniel Hughes, is a registered financial advisor currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky and NATIONAL FINANCIAL SERVICES LLC located in Covington, Kentucky. Daniel is registered as a RR (Registered Representative) and started their career in finance in 1992. Daniel has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 9, Series 10...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Daniel Gordon Hughes, Daniel Hughes
Similar Advisors
FALCON WEALTH PLANNING, LLC
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEQUOIA FINANCIAL GROUP, L.L.C.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
FALCON WEALTH PLANNING, LLC
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEQUOIA FINANCIAL GROUP, L.L.C.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
FALCON WEALTH PLANNING, LLC
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEQUOIA FINANCIAL GROUP, L.L.C.
Disclosures on record.
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.
Similar Advisors
FALCON WEALTH PLANNING, LLC
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEQUOIA FINANCIAL GROUP, L.L.C.
Years of Experience
34 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
FALCON WEALTH PLANNING, LLC
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEQUOIA FINANCIAL GROUP, L.L.C.
Current Firm
NATIONAL FINANCIAL SERVICES CORPORATION | NATIONAL FINANCIAL SERVICES, LLC | NATIONAL FINANCIAL SERVICES LLC
Contact Information
Main Address
245 Summer Street Mail Zone Z2h, Boston, MA 02210Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262Phone Number
(617) 563-7000Established
Delaware since 06/08/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
2,100FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | — |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| MCGRAW, GERARD JOHN | DIRECTOR | 4713963 |
| PAGLIOCCO, JAMES (NMN) | DIRECTOR | 2141541 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | PRESIDENT | 1862532 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
Regulatory Event
47Civil Event
1Arbitration
15Similar Advisors
FALCON WEALTH PLANNING, LLC
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEQUOIA FINANCIAL GROUP, L.L.C.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
FALCON WEALTH PLANNING, LLC
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEQUOIA FINANCIAL GROUP, L.L.C.
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 1992About the Series 6 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Feb 1997SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
FALCON WEALTH PLANNING, LLC
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEQUOIA FINANCIAL GROUP, L.L.C.
CRS (Client Relationship Summary) - BD
Click below to view Daniel G Hughes's CRS (Customer Relationship Summary).
Similar Advisors
FALCON WEALTH PLANNING, LLC
LPL FINANCIAL LLC
AMERIPRISE FINANCIAL SERVICES, LLC
SEQUOIA FINANCIAL GROUP, L.L.C.