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Michael P Hughes

Tradeweb Direct LLC

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About Michael P Hughes

Michael Hughes is a registered representative with Tradeweb Direct LLC, a broker-dealer firm. Michael has been in the financial services industry since 1991, and holds the Series 7, Series 24 and Series 63 licenses. Michael has worked in the industry for over 30 years, having previously worked at J.V.B. Financial Group, LLC, CERT Direct Securities Inc., Wells Fargo Institutional Securities, LLC, Wells Fargo Brokerage Services, L.L.C., Morgan Stanley & Co., Incorporated, and Dean Witter Reynolds Inc.

Firm Information

Michael Hughes is currently registered with Tradeweb Direct LLC. Tradeweb Direct LLC, a Limited Liability Company, was formed on November 3, 1999 and is approved in all 50 U.S. states, Puerto Rico, and the District of Columbia. The firm has one SEC registration and 52 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

41

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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Michael Hughes’s Registration & Firm History

NY

04/30/2024 - Present

Tradeweb Direct LLC (NEW YORK NY)

NY

01/31/2014 - 04/22/2024

J.V.B. FINANCIAL GROUP, LLC (MONROE NY)

NY

10/31/2011 - 01/31/2014

JVB FINANCIAL GROUP, LLC (MONROE NY)

NY

05/24/2011 - 01/30/2012

CERT DIRECT SECURITIES INC. (NEW YORK NY)

NY

01/10/2002 - 06/23/2009

WELLS FARGO INSTITUTIONAL SECURITIES, LLC (NEW YORK NY)

NY

11/06/2001 - 06/23/2009

WELLS FARGO BROKERAGE SERVICES, L.L.C. (NEW YORK NY)

NY

12/07/1998 - 05/12/2001

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NY

01/24/1989 - 12/10/1998

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 03/09/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/17/2014

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/21/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael P Hughes.
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