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PH

Paul E. Hughes

Some features on this profile are disabled
CRD#: 4195809
PH

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.

Paul Evan Hughes was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 2000. Paul had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.
Free For All Band, Active owner & Guitarist, Date Started: 12/2018, Devotes 33 hours during Non-trading hours. Duties:Rehearse, set up and play at local venues.

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

January 4, 2017 - December 18, 2023

NAVY FEDERAL INVESTMENT SERVICES, LLC

RIA
CRD#: 138459
VIRGINIA BEACH, VA
Past

September 8, 2007 - January 4, 2017

NAVY FEDERAL ASSET MANAGEMENT, LLC

RIA
CRD#: 144244
VIRGINIA BEACH, VA
Past

September 20, 2006 - September 8, 2007

NAVY FEDERAL INVESTMENT SERVICES, LLC

RIA
CRD#: 138459
VIRGINIA BEACH, VA
Past

July 3, 2006 - December 18, 2023

NAVY FEDERAL INVESTMENT SERVICES, LLC

BD
CRD#: 138459
VIRGINIA BEACH, VA
Past

September 23, 2002 - September 20, 2006

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
VIRGINIA BEACH, VA
Past

September 23, 2002 - July 3, 2006

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
VIRGINIA BEACH, VA
Past

August 23, 2000 - September 17, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
VIRGINIA BEACH, VA
Past

August 1, 2000 - September 17, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 1, 2000 - September 17, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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
IAR
Series 66
Date: 8/14/2000
Uniform Combined 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: 7/31/2000
General Securities Representative Examination

Current Firm

NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1007 Electric Ave, Vienna, VA 22180
Mailing Address
1007 Electric Ave, Vienna, VA 22180
Phone number
(877) 221-8108
Established
Virginia since 09/06/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
176

SEC notice filing (53 States and Territories)

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

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

NFIS 2A DISCLOSURE BROCHURE (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
NAVY FEDERAL FINANCIAL GROUPOWNER
ROSSON, TIMOTHY DAVIDFINOP / PRINCIPAL FINANACIAL OFFICER7152744
WEISBERG, STEVEN LESLIECHIEF COMPLIANCE OFFICER / VP COMPLIANCE, LEGAL & RISK & OPERATIONS6268061
YOUNG, DIANECHIEF OPERATING OFFICER3098010

Regulatory assets under management

Total Number of Accounts7,472
AUM (Assets Under Management)$ 1,713,608,579

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

NAVY FEDERAL INVESTMENT SERVICES, LLC

CRD#: 138459

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