Archie M. Hughes

FORESIDE FUND SERVICES

Portland, ME 04101

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CRD#: 4240637

Professional summary

Archie Mcwilliams Hughes is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

Archie is registered as a RR (Registered Representative) and started their career in finance in 2000. Archie has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Archie Mcwilliams 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

October 17, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

CRD#: 46106

Portland, ME

Past

July 10, 2023 - September 24, 2024

ARETE WEALTH MANAGEMENT, LLC

CRD#: 44856

CHICAGO, IL

Past

August 23, 2021 - July 28, 2023

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739

IRVINE, CA

Past

November 26, 2019 - August 24, 2021

SHOPOFF SECURITIES, INC.

CRD#: 142866

IRVINE, CA

Past

July 11, 2015 - October 16, 2019

TRILOMA SECURITIES, LLC

CRD#: 173059

WINTER PARK, FL

Past

February 8, 2002 - June 17, 2015

CNL SECURITIES CORP.

CRD#: 10356

ORLANDO, FL

Past

September 20, 2000 - January 16, 2002

WELLS INVESTMENT SECURITIES,INC.

CRD#: 15252

NORCROSS, GA

State Registrations and Notice Filings

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

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

Alabama
(1/16/2025)

Arkansas
(1/16/2025)

Louisiana
(1/16/2025)

Mississippi
(1/16/2025)

Oklahoma
(1/16/2025)

Texas
(10/17/2024)

Exams

State Security Law Exam

Series 63

Date: 4/11/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(207) 553-7110

Established

Delaware since 09/08/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS, LLC	SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKI	PRES/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145
STROUT, ALICIA KIMBERLY	CHIEF COMPLIANCE OFFICER/VICE PRESIDENT	6320351

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

Archie M. Hughes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Archie Mcwilliams Hughes's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARETE WEALTH MANAGEMENT, LLC

GRIFFIN CAPITAL SECURITIES, LLC

SHOPOFF SECURITIES, INC.

TRILOMA SECURITIES, LLC

CNL SECURITIES CORP.

WELLS INVESTMENT SECURITIES,INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/11/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/19/2000

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

TRUST BUT VERIFY

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