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Daniel Gordon Hughes

National Financial Services LLC

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About Daniel Gordon Hughes

Daniel Gordon Hughes has been in the financial services industry since July 2, 1992. Daniel is currently registered with National Financial Services LLC and Fidelity Brokerage Services LLC in Covington, KY. He has held previous registrations with both National Financial Services LLC and Fidelity Brokerage Services LLC, both in Covington, KY. Daniel has passed the Series 6, 7, 8, 9, 10, 63, 99, and SIE exams.

Firm Information

Daniel 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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Daniel Hughes’s Registration & Firm History

KY

08/09/2016 - Present

National Financial Services LLC (COVINGTON KY)

KY

03/06/2007 - 12/12/2008

NATIONAL FINANCIAL SERVICES LLC (COVINGTON KY)

KY

01/21/1992 - 12/07/2006

FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)

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Licenses & Designations

BC

Issued 01/28/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/24/1997

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/07/1994

Series 7 - General Securities Representative Examination

BC

Issued 01/20/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

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 Daniel Gordon Hughes.
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