D S. 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.
D Scott Hughes, who also goes by D. Scott Hughes, Dennis Scott Hughes, was a registered financial professional .
D is a previously registered financial professional and started their career in finance in 2003. D had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2017 - December 31, 2021
AVANTAX ADVISORY SERVICES
December 21, 2017 - December 31, 2021
AVANTAX INVESTMENT SERVICES, INC.
March 7, 2013 - December 26, 2017
PRUCO SECURITIES, LLC.
December 20, 2012 - December 26, 2017
PRUCO SECURITIES, LLC.
August 8, 2011 - December 20, 2012
AVANTAX ADVISORY SERVICES
August 5, 2011 - December 20, 2012
AVANTAX INVESTMENT SERVICES, INC.
March 10, 2008 - August 18, 2009
AMERIPRISE ADVISOR SERVICES, INC.
December 3, 2007 - August 18, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 4, 2003 - March 30, 2007
THE HUNTINGTON INVESTMENT COMPANY
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
