Richard M. Hughes
Professional summary
Richard Michael Hughes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Richard had worked at 5 firms, which includes GREAT EASTERN SECURITIES INC., TRINIX SECURITIES LLC, JAGUAR SECURITIES LLC, RUMSON CAPITAL LLC, MURPHEY MARSEILLES SMITH & NAMMACK INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2002 - June 6, 2006
GREAT EASTERN SECURITIES, INC.
October 22, 2001 - October 2, 2002
TRINIX SECURITIES LLC
October 12, 1998 - December 10, 1998
JAGUAR SECURITIES, LLC
April 1, 1997 - November 26, 2001
RUMSON CAPITAL, LLC
March 10, 1997 - April 14, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GREAT EASTERN SECURITIES, INC.
CRD#: 2061 / SEC#: , 8-16880
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
| Arbitration | 5 |
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