Daniel T. Mchugh

WASHINGTON SECURITIES

Annapolis, MD

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CRD#: 328278

Professional summary

Daniel Thomas Mchugh, who also goes by Daniel T Mchugh, is a registered financial advisor currently at WASHINGTON SECURITIES CORPORATION located in Annapolis, Maryland.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Daniel has worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 5, Series 24, Series 9, Series 10, Series 4, Series 12 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel T Mchugh

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. FINRA, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, REGULATORY, STARTED 1/1984, ARBITRATOR, APX HOURS PER WEEK - VARIES, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ARBITRATE CASES 2. SECURITIES ARBITRATION CONSULTANT/EXPERT WITNESS, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, STARTED 1990, APX HOURS PER WEEK - VARIES, MAY BE DURING TRADING HOURS, ANSWERING QUESTIONS TO HELP ATTORNEY'S STRUCTURE ARBITRATIONS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Thomas Mchugh's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Daniel Thomas Mchugh's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 18, 2020 - Present

WASHINGTON SECURITIES CORPORATION

RIA

CRD#: 46213

Annapolis, MD

Current

November 20, 2020 - Present

WASHINGTON SECURITIES CORPORATION

Office #1: 6935 Wisconsin Ave Suite 510, Chevy Chase, MD 20815

RIA

CRD#: 46213

Chevy Chase, MD

Past

November 25, 2019 - November 23, 2020

WOODSTOCK WEALTH MANAGEMENT, INC.

RIA

CRD#: 283472

Annapolis, MD

Past

January 20, 2017 - December 31, 2018

WOODSTOCK FINANCIAL GROUP, INC.

RIA

CRD#: 38095

Annapolis, MD

Past

January 20, 2017 - December 12, 2019

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

Annapolis, MD

Past

August 3, 2016 - December 31, 2016

CETERA ADVISORS LLC

RIA

CRD#: 10299

ANNAPOLIS, MD

Past

February 19, 2016 - December 31, 2016

CETERA ADVISORS LLC

CRD#: 10299

ANNAPOLIS, MD

Past

April 17, 1991 - October 1, 2015

LOMBARD SECURITIES INCORPORATED

CRD#: 27954

JEFFERSON, TX

Past

October 13, 1988 - November 8, 1990

JOHNSTON, LEMON & CO. INCORPORATED

CRD#: 473

WASHINGTON, DC

Past

June 4, 1984 - October 15, 1988

BAKER, WATTS & CO., INC.

CRD#: 68

Past

January 31, 1980 - June 19, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

July 28, 1976 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

January 19, 1973 - August 15, 1976

BAKER WATTS CO

CRD#: 1000002

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.

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

IAR

Maryland
(11/18/2020)

Maryland
(11/20/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/17/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/20/1981

Interest Rate Options Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 4

Date: 1/28/1985

Registered Options Principal Examination

Principal/Supervisory Exam

Series 12

Date: 7/13/1978

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 40

Date: 2/6/1973

Registered Principal Examination

SRO Registrations

FINRA

Current Firm

WASHINGTON SECURITIES CORPORATION

CRD#: 46213 / SEC#: , 8-51359

Maryland

Registered Investment Advisory firm - SEC (4/25/2014 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

6935 Wisconsin Ave No. 510 Suite 510, Chevy Chase, MD 20815

Mailing Address

6935 Wisconsin Ave No. 510, Chevy Chase, MD 20815-6113

Phone number

(301) 657-4810

Established

Virginia since 08/20/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (19 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
ZASTROW, EARL RAYMOND	PRESIDENT, OWNER	1816127
TURNER, NICKEY DALLAS	DIRECTOR	1631638
ABBOTT, HENRY BRUCE	ROSFP, CCO, PRINCIPAL, CORP SECRETARY	1249819
MILLARD, HERBERT JOSEPH	FINOP, MUNICIPAL PRINCIPAL	817355

Regulatory assets under management

Total Number of Accounts	8
AUM (Assets Under Management)	$ 6,975,967

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.

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Advisor Monitoring

Firm Stability Insights

Daniel T. Mchugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Thomas Mchugh's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Daniel Thomas Mchugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

WASHINGTON SECURITIES CORPORATION

WOODSTOCK WEALTH MANAGEMENT, INC.

WOODSTOCK FINANCIAL GROUP, INC.

WOODSTOCK FINANCIAL GROUP, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

LOMBARD SECURITIES INCORPORATED

JOHNSTON, LEMON & CO. INCORPORATED

BAKER, WATTS & CO., INC.

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BAKER WATTS CO

State Registrations and Notice Filings

Exams

Series 65

Date: 6/17/2016

Series 63

Date: 11/13/1984

Series 7TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 5

Date: 10/20/1981

Series 24

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 4

Date: 1/28/1985

Series 12

Date: 7/13/1978

Series 40

Date: 2/6/1973

FINRA

Current Firm

WASHINGTON SECURITIES CORPORATION

Contact information

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

WASHINGTON SECURITIES CORPORATION

TRUST BUT VERIFY

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