Daniel R. 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.
Daniel Robert Hughes, who also goes by Dan R Hughes, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1995. Daniel had worked at 4 firms and has passed the Series 66, Series 63, SIE 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
July 16, 2018 - September 6, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
November 11, 2016 - July 20, 2018
WELLS FARGO CLEARING SERVICES, LLC
April 5, 2007 - November 11, 2016
FIRST CLEARING, LLC
August 23, 2005 - April 5, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 8, 2004 - April 5, 2007
WELLS FARGO CLEARING SERVICES, LLC
August 17, 1995 - July 6, 2004
EDWARD JONES
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
J.J.B. HILLIARD, W.L. LYONS, LLC
CRD#: 453 / SEC#: 801-23120, 8-33133
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HL FINANCIAL SERVICES, LLC | MEMBER | |
| ALLEN, JAMES REID | CHAIRMAN OF THE BOARD, CEO | 1014622 |
| AMATO, ANTHONY NICHOLAS JR | PRINCIPAL OPERATIONS OFFICER | 1329288 |
| ASFAHL, DONALD LEE | EXECUTIVE VICE PRESIDENT | 2824358 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| CUTSINGER, CHARLES JOSEPH JR. | EXECUTIVE VICE PRESIDENT | 2065360 |
| GRIMLEY, CHARLES MORRISON | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 1121284 |
| KAPLAN, ELIZABETH C | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4619011 |
| KESSINGER, THOMAS BURKS III | DIRECTOR, PRESIDENT | 2366538 |
| MILLER, CARMELLA RASI | CHIEF RISK OFFICER, EXECUTIVE VICE PRESIDENT | 1879379 |
| NEWMAN, ALAN HAMBURG | EXECUTIVE VICE PRESIDENT | 719981 |
| PAPACHRISTOU, NICHOLAS | CHIEF MARKETING OFFICER, EXECUTIVE VICE PRESIDENT | 6464162 |
| PURCELL, PAUL EDWARD | DIRECTOR | 844873 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| WHITE, JALEIGH JEFFERS | EXECUTIVE VICE PRESIDENT | 5950788 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 31 |
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.
