Hugo S. Souza
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.
Hugo Silva Souza was a registered financial professional .
Hugo is a previously registered financial professional and started their career in finance in 2012. Hugo had worked at 7 firms and has passed the Series 66, SIE 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
March 31, 2021 - October 5, 2021
PEAK WEALTH SOLUTIONS
March 31, 2021 - September 15, 2021
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
May 2, 2016 - October 20, 2020
LINEWEAVER WEALTH ADVISORS
February 5, 2015 - October 22, 2020
TRIAD ADVISORS LLC
July 15, 2014 - February 5, 2015
SPC
July 15, 2014 - February 5, 2015
SIGMA FINANCIAL CORPORATION
March 4, 2013 - November 25, 2013
MORGAN STANLEY
December 8, 2012 - November 25, 2013
MORGAN STANLEY
Primary Firm SEC Registration
PEAK WEALTH SOLUTIONS
CRD#: 127391 / SEC#: 801-71071
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
PEAK WEALTH SOLUTIONS
CRD#: 127391 / SEC#: 801-71071
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,040 |
| AUM (Assets Under Management) | $ 789,182,723 |
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.
