Neil D. 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.
Neil Dwayne Hughes was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1975. Neil had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 4, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - October 1, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 3, 1984 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 2, 1984 - October 1, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 27, 1979 - May 9, 1985
CAPITAL ASSET MANAGEMENT, INC.
September 26, 1978 - July 23, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
August 13, 1975 - March 3, 1977
METROPOLITAN LIFE INSURANCE COMPANY
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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: 8/8/1975
Registered Representative ExaminationF04
Date: 11/22/1978
Financial Principal ExaminationSeries 40
Date: 11/22/1978
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
