Ross A. Hughes

MAN INVESTMENTS

New York, NY 10105

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CRD#: 6075070

Professional summary

Ross Alex Hughes is a registered financial professional currently at MAN INVESTMENTS INC. located in New York, New York.

Ross is registered as a RR (Registered Representative) and started their career in finance in 2013. Ross has worked at 7 firms and has passed the Series 63, Series 3, SIE and Series 7 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) - BD

Click below to view Ross Alex 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®

None

Experience

Current

March 13, 2025 - Present

MAN INVESTMENTS INC.

Office #1: 1345 Avenue Of The Americas 21st Floor, New York, NY 10105

CRD#: 15770

New York, NY

Past

February 2, 2024 - February 25, 2025

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

February 28, 2018 - January 4, 2024

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

CRD#: 287788

IRVING, TX

Past

March 29, 2016 - March 1, 2018

FORESIDE FUND SERVICES, LLC

CRD#: 46106

IRVING, TX

Past

November 5, 2014 - March 4, 2016

NEXPOINT SECURITIES, INC.

CRD#: 165013

DALLAS, TX

Past

June 2, 2014 - October 20, 2014

RS FUNDS DISTRIBUTOR LLC

CRD#: 165753

VILLANOVA, PA

Past

June 10, 2013 - June 2, 2014

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

April 3, 2013 - June 7, 2013

LPL FINANCIAL LLC

CRD#: 6413

BURLINGTON, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(3/13/2025)

Florida
(3/13/2025)

Georgia
(3/13/2025)

Mississippi
(3/13/2025)

New York
(3/13/2025)

North Carolina
(3/13/2025)

South Carolina
(3/13/2025)

Tennessee
(3/13/2025)

Exams

State Security Law Exam

Series 63

Date: 5/6/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/8/2025

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/2/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MAN INVESTMENTS INC.

CRD#: 15770 / SEC#: , 8-32575

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1345 Avenue Of The Americas 21st Floor, New York, NY 10105

Mailing Address

1345 Avenue Of The Americas 21st Floor, New York, NY 10105

Phone number

(212) 649-6600

Established

New York since 07/12/1984

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MAN INVESTMENTS HOLDINGS INC.	SHAREHOLDER
HEISKELL, GROVER LEE III	VICE PRESIDENT AND DIRECTOR	2886606
KILLARD, MICHELLE AMY	FINOP	6582751
LE GALL, NADINE	CHIEF COMPLIANCE OFFICER	4358239
PHILLIPS, MEAGAN PEARL SMOODY	PRESIDENT AND DIRECTOR	5862754

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Ross A. Hughes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ross Alex Hughes's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

FORESIDE FUND SERVICES, LLC

NEXPOINT SECURITIES, INC.

RS FUNDS DISTRIBUTOR LLC

GUARDIAN INVESTOR SERVICES LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/6/2013

Series 3

Date: 4/8/2025

SIE

Date: 10/1/2018

Series 7

Date: 4/2/2013

FINRA

Current Firm

MAN INVESTMENTS INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MAN INVESTMENTS INC.

TRUST BUT VERIFY

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