Hugh W. Deane
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.
Hugh White Deane, who also goes by Hugh Deane, was a registered financial professional .
Hugh is a previously registered financial professional and started their career in finance in 1970. Hugh had worked at 23 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2012 - December 31, 2012
MAHLER & EMERSON INC.
January 28, 2009 - April 13, 2010
KABRIK TRADING LLC
November 17, 2003 - December 17, 2004
TRIPP & CO., INC.
May 4, 2001 - April 5, 2002
HAMERSHLAG, DODELES & CO., LLC
April 19, 1998 - March 7, 2001
DIRKS & COMPANY, INC.
April 10, 1996 - December 10, 1997
NATIONAL SECURITIES CORPORATION
December 19, 1995 - March 27, 1996
LABRANCHE FINANCIAL SERVICES, LLC
July 14, 1995 - December 7, 1995
WINDSOR STREET CAPITAL, LP
May 10, 1995 - July 18, 1995
KEANE SECURITIES CO., INC.
September 9, 1994 - April 25, 1995
TRAUTMAN WASSERMAN & COMPANY, INC.
January 8, 1993 - August 8, 1994
FAB SECURITIES OF AMERICA, INC.
August 23, 1989 - September 25, 1991
GRADY AND HATCH & COMPANY, INC.
September 28, 1988 - February 10, 1989
STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED
November 8, 1982 - October 29, 1985
FAHNESTOCK INTERNATIONAL INC.
June 8, 1982 - December 13, 1982
PRUDENTIAL EQUITY GROUP, LLC
July 13, 1979 - May 26, 1982
ELKINS & CO.
December 6, 1978 - May 15, 1979
SOGEN-SWISS INTERNATIONAL CORPORATION
November 22, 1977 - December 27, 1978
ROSS, STEBBINS INC.
May 17, 1976 - March 3, 1977
JESUP & LAMONT SECURITIES CO., INC.
November 18, 1975 - July 15, 1976
HAMERSHLAG, DODELES & CO., LLC
July 18, 1973 - January 23, 1975
D. H. BLAIR & COMPANY
September 12, 1972 - July 8, 1973
STERN, FRANK, MEYER & FOX, INCORPORATED
October 18, 1971 - September 2, 1972
KATZENBERG, SOUR & CO.
July 13, 1970 - September 25, 1971
ANDRESEN & CO.
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
Series 1
Date: 8/22/1960
Registered Representative ExaminationCurrent Firm
MAHLER & EMERSON INC.
CRD#: 7826 / SEC#: 801-11233, 8-17289
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAHLER, HERBERT WILLIAM | PRESIDENT, CHIEF COMPLIANCE OFFICER | 864913 |
| PRIESING, JOHN W | SHAREHOLDER |
Disclosures
| Regulatory Event | 7 |
| Bond | 1 |
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.
