William T. 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.
William Terrance Hughes JR, who also goes by Bill Hughes, William T Hughes Jr, William Hughes, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2004. William had worked at 3 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 2 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
June 14, 2006 - April 17, 2020
UBS FUND SERVICES (USA) LLC
February 2, 2005 - June 29, 2005
BLACKROCK INVESTMENTS, LLC
April 7, 2004 - February 9, 2005
MSI FINANCIAL 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
Series 7TO
Date: 11/28/2022
General Securities Representative ExaminationSeries 2
Date: 9/29/1995
Non-Member General Securities ExaminationCurrent Firm
UBS FUND SERVICES (USA) LLC
CRD#: 41848 / SEC#: , 8-49596
Contact information
FINRA licenses (52 States and Territories)
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.
