Brian P. Hughes
Professional summary
Brian Paul Hughes, who also goes by Brian P Hughes, Brian Paul Hughes, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Cohasset, Massachusetts.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2004. Brian has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 55, Series 7, Series 6, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Paul Hughes's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2022 - Present
NATIONAL FINANCIAL SERVICES LLC
January 27, 2014 - June 19, 2017
VIRTU AMERICAS LLC
August 19, 2009 - December 20, 2013
MARKETAXESS CORPORATION
April 16, 2004 - July 16, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/13/2022)
Exams
Series 7TO
Date: 4/2/2022
General Securities Representative ExaminationSeries 55
Date: 5/12/2014
Limited Representative-Equity Trader ExamBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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