Eric Ernst Hughes

Current Employers

Employment History

• 09/2013 → 11/2017
  National Planning Corporation
  Santa Monica, CA
• 11/2017 → Present
  Valley Wealth Strategies
  Sunnyvale, CA
• 11/2017 → Present
  Lpl Financial Llc
  Sunnyvale, CA

Previous Registrations

• 2013-09-09 → 2017-11-29
  National Planning Corporation
  Lake Forest, CA
  Sunnyvale, CA
  Santa Cruz, CA
• 2011-10-10 → 2013-09-10
  Lincoln Investment
  Santa Clara, CA
  Cincinnati, OH
  Scottsdale, AZ
  Sunnyvale, CA
• 2009-08-10 → 2010-01-19
  National Planning Corporation
  Emeryville, CA
• 2008-08-13 → 2009-08-07
  Cetera Wealth Services, Llc
  Livermore, CA
  Citrus Heights, CA
  Sunnyvale, CA
• 2002-10-10 → 2008-08-13
  Pension Planners Securities, Inc.
  Citrus Heights, CA
  Sunnyvale, CA
  San Jose, CA
  San Jose, CA
• 2002-03-01 → 2002-08-30
  Ameriprise Financial Services, Llc
  Campbell, CA

Other Businesses

1. 11/29/2017 - Rick E. Hughes Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 8/30/2013 - 80 Hours Per Month / 60 Hours During Trading - Rick E. Hughes Financial - Fixed annuities, Life. 2. 11/29/2017 - Rick E. Hughes Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Registered Rep - Start Date 8/30/2013 - 0 Hours Per Month / 0 Hours During Trading. 3. 11/29/2017 - Zuk Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Registered Rep - Start Date 8/30/2013. 4. 01/18/2018 - Valley Wealth Strategies - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 10/2017 - 16 Hours Per Month/16 Hours During Securities Trading - Time Spent 10% - I provide investment advisory services through Valley Wealth Strategies, an independent investment advisor firm. I started this business activity in 10/2017. I expect to spend approximately 16 hours per month on this activity. Please see the advisory firm¿s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S66 Uniform Combined State Law Examination
  2002-02-26

Other Names

• Rick Ernst Hughes
• Eric Ernst Hughes
• Rick E Hughes
• Eric Hughes