Brian P. Hughes
Professional summary
Brian Patrick Hughes is a registered financial advisor currently at MANNING & NAPIER ADVISORS, LLC located in Clifton Park, New York and MANNING & NAPIER INVESTOR SERVICES, INC. located in Fairport, New York.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Brian has worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian Patrick Hughes's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 13, 2022 - Present
MANNING & NAPIER ADVISORS, LLC
September 13, 2022 - Present
MANNING & NAPIER INVESTOR SERVICES, INC.
Office #1: 290 Woodcliff Drive, Fairport, NY 14450March 24, 2014 - July 14, 2016
GOLDMAN SACHS & CO. LLC
December 7, 2006 - April 9, 2012
SWISS RE CAPITAL MARKETS CORPORATION
Primary Firm SEC Registration
MANNING & NAPIER ADVISORS, LLC
CRD#: 105992 / SEC#: 801-10733
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/14/2022)
(10/14/2022)
(3/1/2024)
(10/14/2022)
(3/1/2024)
(3/29/2024)
(3/1/2024)
(10/14/2022)
(10/14/2022)
(10/14/2022)
(10/14/2022)
(10/14/2022)
(10/13/2022)
(10/14/2022)
(10/14/2022)
(10/14/2022)
(10/14/2022)
(9/5/2025)
(3/1/2024)
(10/14/2022)
Exams
Series 7TO
Date: 9/12/2022
General Securities Representative ExaminationFINRA
Current Firm
MANNING & NAPIER ADVISORS, LLC
CRD#: 105992 / SEC#: 801-10733
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,279 |
| AUM (Assets Under Management) | $ 18,406,580,736 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/23/2024 | ||
| 12/21/2023 | ||
| 11/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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