Douglas B. Hughes

CFCI

BLOOMINGTON, IN 47403

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CRD#: 4028855

Professional summary

Douglas B. Hughes, who also goes by Douglas B Hughes, is a registered financial advisor currently at CFCI located in Bloomington, Indiana and J. W. COLE ADVISORS, INC. located in Bloomington, Indiana.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Douglas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 62 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Douglas B 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) COMPREHENSIVE FINANCIAL: I HOLD VARIOUS TRADITIONAL APPOINTMENTS WITH VARIOUS TRADITIONAL COMPANIES TEACHES CLASSES OR FILLS IN FOR CHURCHES AS PASTOR OR WHEN TEACHERS ARE AWAY. I SPEND ZERO HOUR DURING TRADING HOURS DOING THIS. 2) I ALSO USE FIXED INDEXED ANNUITES AND SELL LIFE INSURANCE CONTRACTS. 3) A. DOUGLAS HUGHES B. AUTHOR C. PROMOTING, SPEAKING AND TEACHING ENGAGEMENTS C. 4 HRS/MONTH 4) A. Adjunct Faculty - TEACHING/LECTURER B. INVESTMENT RELATED C. 674 S. COLLEGE AVE BLOOMINGTON, IN D. TEACHING RETIREMENT AND OTHER FINANCIAL WELLNESS CLASSES E. SOLE PROPRIETOR F. 7/12/18 (ADJUNCT AS OF 10/17/2019) G. 12 HRS PER MONTH H. 6 DURING TRADING HOURS I. PREPARE AND DELIVER MATERIAL AND FOLLOW UP WITH ATTENDEES WHO HAVE QUESTIONS 5) A. Doug Hughes Volunteer speaker B. non investment related C. Speaking at church or church events when asked D. 8276 S. Macy ct, Bloomington, IN 47401 E. start date 1/1/1997 F. 1 hour per month during trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas B. Hughes'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

June 18, 2004 - Present

CFCI

Office #1: 674 S. College Ave, Bloomington, IN 47403

RIA

CRD#: 128257

BLOOMINGTON, IN

Current

May 28, 2013 - Present

J. W. COLE ADVISORS, INC.

Office #1: 674 S. College Avenue, Bloomington, IN 47403

RIA

CRD#: 112294

Bloomington, IN

Current

May 24, 2013 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 674 S. College Ave., Bloomington, IN 47403

CRD#: 124583

Bloomington, IN

Past

February 11, 2004 - May 28, 2013

SPC

RIA

CRD#: 110692

BLOOMINGTON, IN

Past

July 10, 2003 - May 28, 2013

PARKLAND SECURITIES, LLC

CRD#: 115368

BLOOMINGTON, IN

Past

July 28, 2000 - June 27, 2003

ALANAR INCORPORATED

CRD#: 23225

SULLIVAN, IN

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".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(8/15/2017)

California
(5/24/2013)

Connecticut
(5/5/2023)

Florida
(5/24/2013)

Illinois
(1/5/2015)

IAR

Indiana
(6/18/2004)

Indiana
(6/4/2013)

Kentucky
(5/24/2013)

Michigan
(5/24/2013)

Missouri
(5/24/2013)

Nevada
(3/4/2024)

New York
(8/12/2025)

Ohio
(5/24/2013)

Oklahoma
(5/20/2021)

Oregon
(5/25/2017)

South Carolina
(4/13/2020)

Texas
(1/16/2014)

Utah
(7/23/2025)

Virginia
(2/24/2023)

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: 1/5/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/26/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/16/2001

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 62

Date: 7/27/2000

Corporate Securities Limited Representative Examination

SRO Registrations

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

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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Firm Stability Insights

Douglas B. Hughes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas B. Hughes's CRS (Customer Relationship Summary).

Certified licenses

Experience

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

SPC

PARKLAND SECURITIES, LLC

ALANAR INCORPORATED

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/5/2004

Series 63

Date: 1/26/2001

SIE

Date: 10/1/2018

Series 6

Date: 5/16/2001

Series 62

Date: 7/27/2000

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

TRUST BUT VERIFY

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