Donald J. 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.
Donald J Hughes, who also goes by Don Hughes, Donald Hughes, Donald John Hughes, Hughes, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 2009. Donald had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
February 24, 2023 - July 7, 2023
TRANSAMERICA RETIREMENT ADVISORS, LLC
February 24, 2023 - July 7, 2023
TRANSAMERICA INVESTORS SECURITIES, LLC
November 22, 2022 - December 21, 2022
STANCORP EQUITIES, INC.
January 7, 2022 - June 2, 2022
VOYA FINANCIAL ADVISORS, INC.
January 4, 2022 - June 2, 2022
VOYA FINANCIAL ADVISORS, INC.
October 1, 2019 - January 16, 2020
FIRST COMMAND BROKERAGE SERVICES, INC.
September 18, 2019 - January 16, 2020
FIRST COMMAND ADVISORY SERVICES
December 8, 2016 - October 8, 2019
LPL FINANCIAL LLC
December 1, 2016 - October 8, 2019
LPL FINANCIAL LLC
August 30, 2013 - November 11, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
August 30, 2013 - November 11, 2015
ALLSTATE FINANCIAL SERVICES, LLC
February 12, 2010 - July 11, 2013
FIRST COMMAND BROKERAGE SERVICES, INC.
October 23, 2009 - July 11, 2013
FIRST COMMAND BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
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
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
