Lucia Reynolds
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.
Lucia Reynolds, who also goes by Lucia Peralta, was a registered financial professional .
Lucia is a previously registered financial professional and started their career in finance in 1996. Lucia had worked at 10 firms and has passed the Series 65, 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
December 22, 2021 - March 22, 2023
THE HUGHES GROUP WEALTH MANAGEMENT PARTNERS LLC
December 22, 2021 - September 30, 2022
B.B. GRAHAM & COMPANY, INC.
January 3, 2020 - July 2, 2020
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
June 29, 2012 - December 31, 2019
SCF INVESTMENT ADVISORS, INC.
June 29, 2012 - December 31, 2019
SCF SECURITIES, INC.
September 27, 2007 - June 29, 2012
BROKERSXPRESS LLC
September 27, 2007 - June 29, 2012
BROKERSXPRESS LLC
July 20, 2004 - September 27, 2007
WALL STREET FINANCIAL GROUP, INC.
July 13, 2004 - September 27, 2007
WALL STREET FINANCIAL GROUP, INC.
October 2, 2002 - July 15, 2004
MCGEE WEALTH MANAGEMENT, INC.
July 12, 2002 - July 7, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 12, 1996 - July 29, 2002
UBS 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
Current Firm
THE HUGHES GROUP WEALTH MANAGEMENT PARTNERS LLC
CRD#: 291397 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 92 |
| AUM (Assets Under Management) | $ 10,360,000 |
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.
