Hugh M. Gadd

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CRD#: 500262

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.

Hugh Michael Gadd was a registered financial professional .

Hugh is a previously registered financial professional and started their career in finance in 1976. Hugh had worked at 5 firms and has passed the Series 63, Series 52 and Series 1 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)

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

October 9, 2007 - February 13, 2008

AMUNI FINANCIAL, INC.

CRD#: 8365

ST. PETERSBURG, FL

Past

January 25, 1989 - October 1, 2007

CARTY, HARDING & HEARN, INC.

CRD#: 7001

MEMPHIS, TN

Past

May 15, 1984 - January 20, 1989

TOWNES & CO., INC.

CRD#: 7034

Past

September 22, 1983 - May 17, 1984

PARK, RYAN, INC.

CRD#: 7154

Past

July 20, 1978 - October 25, 1982

CARTY, HARDING & HEARN, INC.

CRD#: 7001

Past

October 28, 1976 - July 26, 1978

MUNICIPAL SECURITIES, INCORPORATED

CRD#: 6163

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".

AMUNI FINANCIAL, INC.

AMERICAN MUNICIPAL SECURITIES, INC. | AMUNI FINANCIAL, INC.

CRD#: 8365 / SEC#: 801-120481, 8-25338

RIA

Registered Investment Advisory firm - SEC (3/11/2021 Approved)

Arkansas

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Florida

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Georgia

Registered Investment Advisory firm - SEC (3/17/2021 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Michigan

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Ohio

Registered Investment Advisory firm - SEC (3/11/2022 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (3/16/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/22/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52

Date: 3/23/1979

Municipal Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 10/12/1976

Registered Representative Examination

Current Firm

AMUNI FINANCIAL, INC.

AMERICAN MUNICIPAL SECURITIES, INC. | AMUNI FINANCIAL, INC.

CRD#: 8365 / SEC#: 801-120481, 8-25338

RIA

Registered Investment Advisory firm - SEC (3/11/2021 Approved)

Arkansas

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Florida

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Georgia

Registered Investment Advisory firm - SEC (3/17/2021 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Michigan

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Ohio

Registered Investment Advisory firm - SEC (3/11/2022 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (3/16/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

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

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Contact information

Main Address

720 Second Ave S., St Petersburg, FL 33701

Mailing Address

P.o. Box 11749, St. Petersburg, FL 33733-9680

Phone number

(727) 825-0522

Established

Florida since 08/18/1980

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (14 States and Territories)

FINRA licenses (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A APPENDIX 1 (2/24/2025)

ADV PART 2A (2/24/2025)

Direct owners and executive officers

Name	Position	CRD#
PETAGNA, MICHAEL COOPER	PRESIDENT AND CHIEF COMPLIANCE OFFICER	5756933
ABELMAN, JARED B	SR. VICE PRESIDENT	5161601
DONOHUE, MARK KEVIN	SR. VICE PRESIDENT	856777
ABELMAN, STEPHEN CHARLES	SENIOR TRADER	502868
KNIGHTON, EMILY RUTH	CHIEF FINANCIAL OFFICER	6265657

Regulatory assets under management

Total Number of Accounts	274
AUM (Assets Under Management)	$ 159,700,000

Disclosures

Regulatory Event	2
Arbitration	1
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2024	Cover Page	Report
06/13/2023	Cover Page	Report

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

Hugh M. Gadd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CARTY, HARDING & HEARN, INC.

TOWNES & CO., INC.

PARK, RYAN, INC.

CARTY, HARDING & HEARN, INC.

MUNICIPAL SECURITIES, INCORPORATED

Primary Firm SEC Registration

AMUNI FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/22/1980

Series 52

Date: 3/23/1979

Series 1

Date: 10/12/1976

Current Firm

AMUNI FINANCIAL, INC.

Contact information

SEC notice filing (14 States and Territories)

FINRA licenses (48 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

AMUNI FINANCIAL, INC.

TRUST BUT VERIFY

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