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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Richard Hughes is an investment advisor representative with Wells Fargo Advisors Financial Network, LLC. James has been in the industry since 1999 and holds a Series 7, Series 31, Series 63, and Series 65 licenses. James also has a Securities Industry Essentials (SIE) designation. James is registered in 28 states for broker-dealer activities and 3 states for investment advisor activities. Prior to joining Wells Fargo Advisors Financial Network, LLC, James worked for UBS FINANCIAL SERVICES INC. and CITICORP INVESTMENT SERVICES.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
05/21/2020 - Present
Wells Fargo Advisors Financial Network, LLC (MELVILLE NY)
NY
07/30/1999 - 07/21/2009
UBS FINANCIAL SERVICES INC. (MELVILLE NY)
NY
05/11/1999 - 02/14/2000
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
IA
Issued 08/12/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/21/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 05/07/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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