JH
James E. Hughes
DOMINION PORTFOLIO MANAGEMENT
JASPER, TX 75951
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CRD#: 2964182
JH
Professional summary
James Edward Hughes JR, who also goes by Jim Hughes, is a registered financial advisor currently at DOMINION PORTFOLIO MANAGEMENT, INC. located in Jasper, Texas and CALTON & ASSOCIATES, INC. located in Jasper, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. James has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim 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. TEXAS FINANCIAL CENTER, INC. AND JAMES E. "JIM" HUGHES, JR, DBA TEXAS FINANCIAL CENTER, EFFECTIVE 10-01-2020; NOT INVESTMENT RELATED; 150 WEST GIBSON STREET, SUITE 100, JASPER, TX 75951; LIFE AND HEALTH INSURANCE SALES; AGENT/BROKER; BEGAN 1997; 160 HOURS PER MONTH WITH 80 DURING TRADING; OWNER/OPERATOR.
2. TIMBERLAKE INSURANCE GROUP LLC; NOT INVESTMENT RELATED; 150 WEST GIBSON STREET, SUITE 200, JASPER, TX 75951; PROPERTY AND CASUALTY INSURANCE; AGENT AND MINORITY OWNER; BEGAN JULY 2014; APPROXIMATELY 5 HOURS PER WEEK AND DURING TRADING HOURS; PROPERTY AND CASUALTY INSURANCE SALES; JAMES E. HUGHES, JR. DBA HUGHES RENTAL PROPERTIES, REAL ESTATE HOLDINGS, BEGAN 2014, 5 HOURS PER MONTH WITH 0 HOURS DURING TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Hughes JR'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
June 26, 2017 - Present
DOMINION PORTFOLIO MANAGEMENT, INC.
Office #1: 150 West Gibson, Jasper, TX 75951RIA
CRD#: 106918
JASPER, TX
Current
June 30, 2023 - Present
CALTON & ASSOCIATES, INC.
Office #1: 150 West Gibson Street Suite 100, Jasper, TX 75951RIA
BD
CRD#: 20999
Jasper, TX
Past
June 26, 2017 - July 20, 2023
DOMINION INVESTOR SERVICES, INC.
BD
CRD#: 21548
JASPER, TX
Past
September 2, 2016 - November 2, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
JASPER, TX
Past
September 2, 2016 - November 2, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
JASPER, TX
Past
September 1, 2016 - June 30, 2017
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
JASPER, TX
Past
September 1, 2016 - June 30, 2017
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
JASPER, TX
Past
September 15, 2009 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
JASPER, TX
Past
July 29, 2005 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
JASPER, TX
Past
March 26, 2001 - July 18, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
February 26, 1998 - March 16, 2001
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
November 6, 1997 - December 8, 1997
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
DP
DOMINION PORTFOLIO MANAGEMENT, INC.
DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.
CRD#: 106918 / SEC#: 801-115280
RIA
Registered Investment Advisory firm - (5/13/2019 Approved)California
Registered Investment Advisory firm - (4/25/2001 Cancelled)Colorado
Registered Investment Advisory firm - (5/22/2019 Terminated)Indiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Louisiana
Registered Investment Advisory firm - (5/14/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/14/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2019 Terminated)Texas
Registered Investment Advisory firm - (5/14/2019 Terminated)Washington
Registered Investment Advisory firm - (5/21/2019 Terminated)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
Louisiana(6/30/2023)
IAR
Texas(6/26/2017)
RR
Texas(6/30/2023)
Exams
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
DP
DOMINION PORTFOLIO MANAGEMENT, INC.
DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.
CRD#: 106918 / SEC#: 801-115280
RIA
Registered Investment Advisory firm - (5/13/2019 Approved)California
Registered Investment Advisory firm - (4/25/2001 Cancelled)Colorado
Registered Investment Advisory firm - (5/22/2019 Terminated)Indiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Louisiana
Registered Investment Advisory firm - (5/14/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/14/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2019 Terminated)Texas
Registered Investment Advisory firm - (5/14/2019 Terminated)Washington
Registered Investment Advisory firm - (5/21/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1002 Marble Heights Dr Suite 101, Marble Falls, TX 78654
Mailing Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Phone number
(813) 264-0440
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 616 |
| AUM (Assets Under Management) | $ 261,299,355 |
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
DOMINION PORTFOLIO MANAGEMENT, INC.
CRD#: 106918Jasper, TX 75951TRUST BUT VERIFY
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