Hugues M. De La Rochefoucauld
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.
Hugues M. De La Rochefoucauld, who also goes by Hugues M. De La Rochfoucauld, was a registered financial professional .
Hugues is a previously registered financial professional and started their career in finance in 2000. Hugues had worked at 4 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2010 - July 16, 2024
DELPHOS MMJ L.P.
October 23, 2007 - February 17, 2009
AIA CAPITAL MARKETS LLC
November 5, 2004 - November 4, 2005
BRILL SECURITIES, INC.
January 16, 2002 - November 18, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 2000 - November 18, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
DELPHOS MMJ L.P.
CRD#: 137389 / SEC#: , 8-67083
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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