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BH

Bryan S. Hughes

Some features on this profile are disabled
CRD#: 4061147
BH

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.

Bryan Scott Hughes was a registered financial professional .

Bryan is a previously registered financial professional and started their career in finance in 2000. Bryan had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 14, 2012 - July 29, 2019

SUMRIDGE PARTNERS, LLC

BD
CRD#: 152437
JERSEY CITY NJ 07310, NJ
Past

April 27, 2009 - February 6, 2012

TMC BONDS L.L.C.

BD
CRD#: 104507
NEW YORK, NY
Past

November 13, 2006 - December 12, 2007

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

April 19, 2000 - January 30, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/10/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/23/2010
General Securities Principal Examination

Current Firm

SP
SUMRIDGE PARTNERS, LLC
SUMRIDGE PARTNERS, A COMPANY OF RAYMOND JAMES | SUMRIDGE PARTNERS, LLC

CRD#: 152437 / SEC#: , 8-68454

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
111 Town Square Place, Jersey City, NJ 07310
Mailing Address
111 Town Square, Jersey City, NJ 07310
Phone number
(201) 898-2525
Established
Delaware since 09/29/2009
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EVEREST ACQUISITION CO.OWNER
CARTER, HORACE LEROYPRESIDENT2157720
CATLIN, CHRISTOPHER EDWINDIRECTOR OF OPERATIONS/ COO (2/2015)1759063
CHAMPAGNE, JUSTIN TYLERMUNICIPAL PRINCIPAL/ MANAGING DIRECTOR (7/2022)5822474
CHAMPAGNE, RYANHEAD OF TRADING/ SENIOR MANAGING DIRECTOR (7/2022)4774950
DELEON, ALLYSSA NICOLECFO/ FINOP6902665
JIANG, JIANZHONGCHIEF TECHNOLOGY OFFICER/ SENIOR MANAGING DIRECTOR (7/2022)4779195
MORANO, KEVIN ROBERTSENIOR MANAGING DIRECTOR1928935
SHIM, KATHERINECHIEF COMPLIANCE OFFICER4204142

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

SUMRIDGE PARTNERS, LLC

CRD#: 152437

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