Frank 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.
Frank Mackey Hughes JR, who also goes by Mackey Hughes, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1980. Frank had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2013 - June 9, 2021
M&T SECURITIES, INC.
September 21, 2011 - May 6, 2013
M&T SECURITIES, INC.
June 20, 2011 - September 2, 2011
WILMINGTON BROKERAGE SERVICES COMPANY
December 15, 2006 - May 2, 2011
1ST BRIDGEHOUSE SECURITIES, LLC
January 13, 2001 - March 6, 2006
DEUTSCHE BANK SECURITIES INC.
May 11, 2000 - March 6, 2006
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
June 25, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
December 2, 1988 - June 19, 1996
ARMATA FINANCIAL CORP.
November 9, 1985 - January 23, 1988
CAPITAL CONCEPTS SECURITIES, INC.
January 17, 1985 - May 17, 1985
HUNTINGTON INVESTMENTS, INC.
June 11, 1984 - April 15, 1985
ENERGY METHODS SECURITIES CO., INC.
October 23, 1980 - May 7, 1984
RAYMOND JAMES FINANCIAL SERVICES, INC.
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 7TO
Date: 9/19/2022
General Securities Representative ExaminationSeries 8
Date: 8/23/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| 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.
