William F. 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.
William Felix Hughes SR, who also goes by William Felix Hughes, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 1995 - August 3, 1995
COMPULIFE INVESTOR SERVICES, INC.
September 14, 1993 - February 9, 1995
PRUCO SECURITIES, LLC.
January 28, 1992 - May 26, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 28, 1992 - May 26, 1993
PRUCO SECURITIES, LLC.
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
COMPULIFE INVESTOR SERVICES, INC.
CRD#: 21543 / SEC#: , 8-39086
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRIMEVEST FINANCIAL SERVICES, INC. | SOLE SHAREHOLDER | 15340 |
| CICCATI, RANDALL LEE | PRESIDENT/ DIRECTOR/CEO | 1569353 |
| COMBS, BOYD G | SENIOR VICE PRESIDENT | |
| ENGELKE, PAULA CLUDRAY | SECRETARY | |
| MAAS, KEVIN PAUL | VP, ASSISTANT SECRETARY/ DIRECTOR | 2692487 |
| MILLER, EDWARD BRUCE | VICE PRESIDENT AND DIRECTOR | 1680275 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| REINHOLZ, CHRISTOPHER JON | ASSISTANT VICE PRESIDENT | 1961258 |
| RENELT, LORALEE ANN | ASSISTANT SECRETARY | |
| RUMMELMCCOOL, LEANN RENEE | VICE PRESIDENT | 1965155 |
| SHELSON, MARK PAUL | VICE PRESIDENT/ CHIEF FINANCIAL OFFICER | 1819252 |
| WILLIAMS, CLINTON SR | SENIOR VICE PRESIDENT/ DIRECTOR/COO | 2479051 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
