Timothy H. 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.
Timothy Heft Hughes was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1994. Timothy had worked at 18 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2023 - June 13, 2023
FORESIDE FUND SERVICES, LLC
June 7, 2021 - August 13, 2021
ALLSTATE FINANCIAL SERVICES, LLC
October 28, 2019 - March 2, 2021
PREFERRED CAPITAL SECURITIES, LLC
December 21, 2017 - June 17, 2019
FORESIDE FUND SERVICES, LLC
April 15, 2016 - January 3, 2017
BLUEROCK CAPITAL MARKETS LLC
December 3, 2007 - April 5, 2016
CAREY FINANCIAL, LLC
September 14, 2006 - November 26, 2007
HINES PRIVATE WEALTH SOLUTIONS LLC
September 28, 2005 - September 13, 2006
CCO CAPITAL, LLC
February 15, 2005 - September 21, 2005
WELLS FARGO INVESTMENTS, LLC
February 15, 2005 - September 21, 2005
WELLS FARGO INVESTMENTS, LLC
March 19, 2002 - January 11, 2005
SECU BROKERAGE SERVICES
October 3, 2001 - March 20, 2002
CETERA WEALTH SERVICES, LLC
May 1, 2001 - October 5, 2001
METLIFE INVESTORS DISTRIBUTION COMPANY
January 3, 2001 - May 1, 2001
METLIFE INVESTORS SALES COMPANY
June 13, 2000 - September 22, 2000
VP DISTRIBUTORS LLC
December 17, 1998 - June 5, 2000
VOYA FINANCIAL PARTNERS, LLC
February 26, 1998 - August 12, 1998
BRECEK & YOUNG ADVISORS, INC.
April 1, 1996 - February 26, 1998
LONDON PACIFIC SECURITIES, INC.
August 15, 1994 - March 22, 1996
A. G. EDWARDS & SONS, INC.
May 27, 1994 - August 23, 1994
AMERIPRISE ADVISOR SERVICES, 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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
