Robert T. 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.
Robert Timothy Hughes, who also goes by Tim Hughes, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1978. Robert had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5 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
December 17, 2015 - April 18, 2016
GROVE POINT INVESTMENTS, LLC
December 17, 2015 - April 18, 2016
GROVE POINT INVESTMENTS, LLC
October 13, 2010 - December 2, 2015
B. RILEY WEALTH MANAGEMENT
October 12, 2010 - December 2, 2015
B. RILEY WEALTH MANAGEMENT
March 13, 2009 - October 15, 2010
RBC CAPITAL MARKETS, LLC
March 13, 2009 - October 15, 2010
RBC CAPITAL MARKETS, LLC
January 23, 2003 - March 13, 2009
FERRIS, BAKER WATTS, LLC
September 29, 2000 - March 13, 2009
FERRIS, BAKER WATTS, LLC
June 16, 1998 - October 9, 2000
RAYMOND JAMES & ASSOCIATES, INC.
May 11, 1998 - September 25, 1999
RONEY & CO.
December 16, 1994 - May 11, 1998
RONEY & CO. L.L.C.
March 25, 1986 - December 23, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 1980 - April 4, 1986
UBS FINANCIAL SERVICES INC.
January 27, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 15
Date: 4/5/1985
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| 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.
