Frederick M. 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.
Frederick Marshall Hughes, who also goes by Frederick Marshall Hughes III, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1993. Frederick had worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2020 - January 5, 2022
ASSETMARK BROKERAGE, LLC
October 17, 2019 - January 5, 2022
ASSETMARK, INC.
August 27, 2009 - July 13, 2012
SYSTEMATIC TRADING, LLC
October 1, 2002 - June 23, 2005
WELLS FARGO SECURITIES, LLC
September 1, 1998 - July 23, 2002
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
November 3, 1993 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY 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
Series 6TO
Date: 12/10/2022
Investment Company Products/Variable Contracts Representative ExaminationSeries 55
Date: 12/15/1998
Limited Representative-Equity Trader ExamCurrent Firm
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
