Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Hughes is an investment advisor representative with LPL Financial LLC based in San Mateo, CA. Michael has been in the industry since 1984 and is registered in California and Oregon. Michael has a wide range of experience, having worked for several firms, including Wells Fargo Advisors Financial Network, LLC, Citigroup Global Markets Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Michael has obtained licenses from the Securities Industry Essentials Examination, General Securities Representative Examination, National Commodity Futures Examination, General Securities Sales Supervisor Examination, and Uniform Investment Adviser Law Examination. Michael specializes in portfolio management for individuals and businesses, financial planning, and pension consulting.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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
CA
07/14/2020 - Present
LPL Financial LLC (SAN MATEO CA)
CA
01/29/2010 - 07/15/2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (SAN MATEO CA)
CA
05/29/2007 - 02/11/2010
CITIGROUP GLOBAL MARKETS INC. (PALO ALTO CA)
CA
11/14/1997 - 05/29/2007
CITICORP INVESTMENT SERVICES (PALO ALTO CA)
NY
08/06/1996 - 11/03/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/05/1990 - 07/26/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
07/17/1989 - 06/12/1990
MARATHON PROPERTIES, INC.
NA
03/01/1989 - 04/27/1989
BEAR, STEARNS & CO. INC.
NA
02/13/1987 - 03/08/1989
PAINEWEBBER INCORPORATED
NA
07/21/1983 - 02/18/1987
SHEARSON LEHMAN BROTHERS INC.
IA
Issued 06/23/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/01/1983
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 08/04/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/1983
Series 3 - National Commodity Futures Examination
BC
Issued 07/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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