Daniel H. Hughes
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.
Daniel Hope Hughes was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 2000. Daniel had worked at 7 firms and has passed the Series 66, Series 31 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
July 16, 2010 - August 3, 2010
NEWBRIDGE SECURITIES CORPORATION
May 18, 2010 - June 14, 2010
PURSHE KAPLAN STERLING INVESTMENTS
June 1, 2009 - May 11, 2010
MORGAN STANLEY
June 1, 2009 - May 11, 2010
MORGAN STANLEY
August 15, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 13, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 1, 2003 - August 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 11, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 11, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 5, 2000 - April 30, 2003
UBS FINANCIAL SERVICES INC.
May 16, 2000 - April 30, 2003
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NEWBRIDGE SECURITIES CORPORATION
CRD#: 104065 / SEC#: , 8-52538
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWBRIDGE FINANCIAL INC. | OWNER | |
| BUDDIE, GIOVINA ANN | FINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER | 1997691 |
| CASOLARO, THOMAS JOSEPH | CO-CEO & CHAIRMAN | 1812805 |
| CHAMPION, CHAD DANA | SENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS | 3038162 |
| ROBLES, VICTOR MANUEL | FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4490918 |
| SLAVIK, RICHARD WAYNE | CHIEF COMPLIANCE OFFICER | 2122910 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 4 |
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.
