Patrick 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.
Patrick Reardon Hughes, who also goes by Pat Hughes, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1997. Patrick had worked at 4 firms and has passed the Series 63, SIE, Series 87, Series 55, Series 7, Series 28 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
September 23, 2003 - September 10, 2019
AGENCY TRADING GROUP, INC.
June 2, 1999 - October 23, 2003
NAVILLUS SECURITIES, INC.
May 10, 1999 - June 1, 1999
NAVILLUS SECURITIES, INC.
October 20, 1997 - May 27, 1999
PARADISE VALLEY SECURITIES, INC.
June 19, 1997 - November 26, 1997
DELPHI FINANCIAL CORP.
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 55
Date: 5/15/2002
Limited Representative-Equity Trader ExamSeries 28
Date: 8/2/2005
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
AGENCY TRADING GROUP, INC.
CRD#: 108887 / SEC#: , 8-53088
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
Red Flags
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