AH
Andrew W. Hughes
LIFEMARK SECURITIES
Oconomowoc, WI 53066
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CRD#: 5814994
AH
Professional summary
Andrew Wesley Hughes, who also goes by Andy Hughes, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Oconomowoc, Wisconsin.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Andrew has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy Hughes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Wesley Hughes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Wesley Hughes's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 6, 2024 - Present
LIFEMARK SECURITIES CORP.
Office #1: 203 E. Wisconsin Ave. Suite 207, Oconomowoc, WI 53066Office #2: 203 East Wisconsin Ave Suite 207, Oconomowoc, WI 53066RIA
BD
CRD#: 16204
Oconomowoc, WI
Current
May 8, 2024 - Present
LIFEMARK SECURITIES CORP.
Office #1: 203 E. Wisconsin Ave. Suite 207, Oconomowoc, WI 53066RIA
BD
CRD#: 16204
Oconomowoc, WI
Past
December 26, 2019 - March 2, 2020
FARMERS FINANCIAL SOLUTIONS, LLC
RIA
CRD#: 103863
OCONOMOWOC, WI
Past
November 15, 2019 - September 22, 2020
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
OCONOMOWOC, WI
Past
October 5, 2010 - October 30, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
WEST BEND, WI
Past
September 3, 2010 - October 30, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
WEST BEND, WI
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".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Minnesota(5/30/2024)
IAR
Wisconsin(5/6/2024)
RR
Wisconsin(5/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/22/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
Company Information
LIFEMARK SECURITIES CORP.
CRD#: 16204Oconomowoc, WI 53066TRUST BUT VERIFY
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