Patrick T. 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.
Patrick Thomas Hughes was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2006. Patrick had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 79, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2011 - September 6, 2017
HEIGHT CAPITAL MARKETS
July 1, 2010 - May 4, 2017
HEIGHT ANALYTICS, LLC
July 15, 2009 - May 28, 2010
IRC SECURITIES LLC
January 6, 2009 - July 15, 2009
IRC SECURITIES
September 28, 2006 - December 24, 2008
B. RILEY SECURITIES, INC.
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
HEIGHT CAPITAL MARKETS
CRD#: 150659 / SEC#: , 8-68277
Contact information
FINRA licenses (26 States and Territories)
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.
