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James D Hughes

Cwm, LLC

Amarillo, TX

Omaha, NE

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Current Employers
Cwm, Llc

14600 Branch St., Omaha, NE 68154 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-07-24
  • TX RA
    APPROVED
    Since 2024-07-24

Branch Locations

1616 S Kentucky Street, Ste. D110, Amarillo, TX 79102 • United States

14600 Branch St., Omaha, NE 68154 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lakeridge Baptist Church Lubbock TX 06/2014 04/2019
Planmember Securities Corporation Carpinteria CA 06/2019 08/2019
Shane Hall Financial Amarillo TX 06/2019 08/2019
Shane Hall Financial Amarillo TX 08/2019 Present
Planmember Securities Corporation Carpinteria CA 08/2019 07/2024
Cwm, Llc Omaha NE 07/2024 Present
Previous Registrations
Other Businesses

1) Shane Hall Financial-1616 S. Kentucky Street, Suite D-110, Amarillo, TX 79102; Investment related; Financial services, provide administrative securities support & generate new sales; Registered Representative; Start date 8/2019; 160 hrs/mnth & during trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-01-23
S63 Uniform Securities Agent State Law Examination 2019-07-15
  • S65 Uniform Investment Adviser Law Examination
    2020-01-23
  • S63 Uniform Securities Agent State Law Examination
    2019-07-15
Designations
Other Names
  • James D. Hughes

View on SEC IAPD

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