Howell H. 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.
Howell Harvey Hughes Jr, who also goes by Hal Hughes, Howell Harvey Hughes Jr, Howell Harvey Hughes, was a registered financial professional .
Howell is a previously registered financial professional and started their career in finance in 1994. Howell had worked at 10 firms and has passed the Series 63, SIE, Series 6 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
August 17, 2017 - December 31, 2018
AMERITAS INVESTMENT COMPANY, LLC
March 21, 2017 - May 25, 2017
PRUCO SECURITIES, LLC.
August 7, 2012 - December 31, 2016
PRINCIPAL SECURITIES, INC.
September 9, 2009 - August 22, 2012
PARK AVENUE SECURITIES LLC
April 27, 2009 - August 25, 2009
NEW ENGLAND SECURITIES
August 1, 2008 - April 15, 2009
NATIONWIDE SECURITIES, LLC
March 5, 2008 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
January 31, 2003 - August 30, 2007
1717 CAPITAL MANAGEMENT COMPANY
May 3, 1999 - March 13, 2002
PARK AVENUE SECURITIES LLC
March 26, 1997 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
October 10, 1994 - March 5, 1997
ROBERT W. BAIRD & CO. INCORPORATED
October 10, 1994 - March 5, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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: 10/2/1979
Registered Representative ExaminationCurrent Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
