Marc B. 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.
Marc Bailey Hughes was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1994. Marc had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2014 - October 25, 2017
MESIROW FINANCIAL, INC.
May 3, 2011 - September 9, 2014
MUFG SECURITIES AMERICAS INC.
March 27, 2009 - January 12, 2010
JEFFERIES LLC
September 14, 2007 - March 27, 2009
DEPFA FIRST ALBANY SECURITIES, LLC
September 14, 2006 - April 17, 2007
NAFA CAPITAL MARKETS, LLC
January 3, 2003 - September 18, 2007
GLEACHER & COMPANY SECURITIES, INC.
January 2, 2002 - January 6, 2003
RBC CAPITAL MARKETS, LLC
December 4, 2001 - January 11, 2002
SUTRO & CO. INCORPORATED
December 24, 1998 - November 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
August 4, 1997 - November 3, 1998
SIEBERT WILLIAMS SHANK & CO., LLC
October 17, 1996 - August 4, 1997
MURIEL SIEBERT & CO., LLC
April 25, 1994 - October 23, 1996
GRIGSBY & ASSOCIATES, INC.
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
MESIROW FINANCIAL, INC.
CRD#: 2764 / SEC#: , 8-28816
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MESIROW FINANCIAL HOLDINGS, INC. | MAJORITY SHAREHOLDER | |
| MESIROW FINANCIAL SERVICES, INC. | MINORITY SHAREHOLDER | |
| PRICE, RICHARD SCOTT | DIRECTOR | 367760 |
| FARR, CHRISTOPHER DAYNE | CFO | 3239925 |
| HAYES, MARY JO MOON | CHIEF COMPLIANCE OFFICER | 1196353 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | DIRECTOR | 5268961 |
| LEVINE, JEFFREY MICHAEL | CEO/PRESIDENT | 5627249 |
| OAKLEY, ADAM JOEL | SENIOR MANAGING DIRECTOR, INVESTMENT BANKING | 4795934 |
| PRICE, BRIAN DAVID | CHAIRMAN, INVESTMENT BANKING DIVISION | 5192466 |
| WALDROP, TODD E. | SENIOR MANAGING DIRECTOR | 4194147 |
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Bond | 2 |
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.
