Ralph G. 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.
Ralph Gregory Hughes was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1993. Ralph had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2019 - December 31, 2021
INTERVEST INTERNATIONAL, INC.
January 16, 2019 - December 31, 2021
INTERVEST INTERNATIONAL EQUITIES CORPORATION
December 18, 2008 - December 31, 2018
INDEPENDENT FINANCIAL GROUP, LLC
December 18, 2008 - December 31, 2018
INDEPENDENT FINANCIAL GROUP, LLC
September 3, 2008 - December 18, 2008
EPLANNING ADVISORS INC
September 3, 2008 - December 18, 2008
EPLANNING SECURITIES, INC.
February 20, 2004 - September 5, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 13, 2003 - February 20, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 14, 2000 - September 28, 2001
PIPER SANDLER & CO.
May 6, 1999 - July 20, 2000
MORGAN STANLEY DW INC.
January 11, 1995 - January 21, 1998
FIDELITY BROKERAGE SERVICES LLC
August 30, 1993 - October 31, 1994
GLOBAL CAPITAL SECURITIES CORPORATION
June 18, 1993 - August 10, 1993
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INTERVEST INTERNATIONAL, INC.
CRD#: 111516 / SEC#: 801-66615
Contact information
Regulatory assets under management
| Total Number of Accounts | 356 |
| AUM (Assets Under Management) | $ 39,933,048 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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