William M. 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.
William Michael Hughes was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2013. William had worked at 5 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 5, 2020 - December 31, 2020
HEALTH & WEALTH MANAGEMENT LLC
January 18, 2017 - February 6, 2018
PRUCO SECURITIES, LLC.
December 20, 2016 - February 6, 2018
PRUCO SECURITIES, LLC.
August 19, 2015 - December 21, 2016
SECURIAN FINANCIAL SERVICES, INC.
August 17, 2015 - December 21, 2016
SECURIAN FINANCIAL SERVICES, INC.
March 26, 2015 - July 14, 2015
DIVERSIFIED INVESTMENT STRATEGIES, LLC
July 1, 2013 - February 21, 2014
MORGAN STANLEY
April 26, 2013 - February 21, 2014
MORGAN STANLEY
State Registrations and Notice Filings
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Exams
Current Firm
HEALTH & WEALTH MANAGEMENT LLC
CRD#: 305984 / SEC#:
Contact information
Red Flags
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