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Brian Paul Hughes

National Financial Services LLC

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About Brian Paul Hughes

Brian Paul Hughes is a financial professional with over 14 years of experience in the financial services industry. Brian has worked with firms such as KCG Americas LLC and MarketAxess Corporation in addition to National Financial Services LLC. Brian holds a Series 7, 6, 55, 53, and 63 licenses, as well as the Securities Industry Essentials (SIE) exam. Brian is registered with the state of Massachusetts. Brian's professional background includes experience in a variety of financial roles, providing investment advice and services to clients.

Firm Information

Brian Hughes is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Brian Hughes’s Registration & Firm History

MA

04/02/2022 - Present

National Financial Services LLC (BOSTON MA)

NY

01/27/2014 - 06/19/2017

KCG AMERICAS LLC (New York NY)

NY

08/19/2009 - 12/20/2013

MARKETAXESS CORPORATION (NEW YORK NY)

WI

04/16/2004 - 07/16/2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

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Licenses & Designations

BC

Issued 04/13/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/27/2011

Series 53 - Municipal Securities Principal Examination

BC

Issued 04/02/2022

Series 7TO - General Securities Representative Examination

BC

Issued 03/19/2022

SIE - Securities Industry Essentials Examination

BC

Issued 05/12/2014

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/18/2009

Series 7 - General Securities Representative Examination

BC

Issued 04/15/2004

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Brian Paul Hughes.
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