Woodrow 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.
Woodrow House Hughes, who also goes by Woodrow House Hughes Jr, Woody Hughes, was a registered financial professional .
Woodrow is a previously registered financial professional and started their career in finance in 1994. Woodrow had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2024 - January 28, 2025
THE LEADERS GROUP, INC.
July 17, 2015 - January 5, 2022
BOK FINANCIAL SECURITIES, INC.
February 2, 2015 - July 14, 2015
SAYBRUS EQUITY SERVICES, LLC
January 27, 2014 - October 29, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 3, 2011 - March 19, 2013
WELLS FARGO CLEARING SERVICES, LLC
March 2, 2004 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
December 5, 1995 - August 21, 2003
KEYBANC CAPITAL MARKETS INC.
October 19, 1994 - December 14, 1995
JOHN HANCOCK DISTRIBUTORS LLC
State Registrations and Notice Filings
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Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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