RH
Rickey D. Hughes
OSAIC INSTITUTIONS
Mount Olive, NC 28365
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CRD#: 2725975
RH
Professional summary
Rickey Dale Hughes, who also goes by Rick Hughes, Rickey Hughes, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Mount Olive, North Carolina.
Rickey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Rickey has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Hughes | Rickey Hughes
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) Southern Bank. Yes, investment related. Started Jan 2024. Financial Advisor Referral Program. 1% increase in grid payout if meet referral goal. Refer business to Southern Bank partners.
CRS (Client Relationship Summary) - RIA
Click below to view Rickey Dale Hughes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rickey Dale Hughes's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 6, 2011 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 800 N. Breazeale Avenue, Mount Olive, NC 28365RIA
BD
CRD#: 35371
Mount Olive, NC
Current
September 6, 2011 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 800 N. Breazeale Avenue, Mount Olive, NC 28365RIA
BD
CRD#: 35371
Mount Olive, NC
Past
October 9, 2008 - September 15, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
MOUNT OLIVE, NC
Past
October 9, 2008 - September 15, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
MOUNT OLIVE, NC
Past
February 8, 2007 - October 8, 2008
EDWARD JONES
RIA
CRD#: 250
GOLDSBORO, NC
Past
January 31, 2000 - October 8, 2008
EDWARD JONES
BD
CRD#: 250
GOLDSBORO, NC
Past
April 16, 1998 - February 8, 2000
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
RALEIGH, NC
Past
October 15, 1996 - July 29, 1998
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
April 15, 1996 - October 24, 1996
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/6/2011)
RR
Arkansas(2/10/2017)
RR
California(9/6/2011)
RR
Colorado(7/7/2021)
RR
Connecticut(9/6/2011)
RR
Florida(9/6/2011)
RR
Hawaii(9/6/2011)
RR
Louisiana(12/20/2022)
RR
New York(9/6/2011)
IAR
North Carolina(9/6/2011)
RR
North Carolina(9/19/2011)
RR
Ohio(11/29/2018)
RR
Pennsylvania(1/23/2019)
RR
South Carolina(9/6/2011)
RR
Texas(9/28/2018)
RR
Virginia(9/6/2011)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Mount Olive, NC 28365TRUST BUT VERIFY
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