James William Hughes

Current Employers

Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2017-06-19
NJ	RA	APPROVED	2002-07-03

TX RA
APPROVED_RES

Since 2017-06-19
NJ RA
APPROVED

Since 2002-07-03

Branch Locations

215 Route 15 South, Jefferson Twp, NJ 07885 • United States

280 Bloomfield Ave, Verona, NJ 07044 • 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

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	09/1999	06/2020
Equitable Advisors, Llc	New York	NY	09/1999	Present

09/1999 → 06/2020

Axa Advisors, Llc

New York, NY
09/1999 → Present

Equitable Advisors, Llc

New York, NY

Other Businesses

Various Other Outside Insurance Appointments; POA for Family Member; James W. Hughes, LLC, Member of a Limited Liability Company/Owner, Property management, 64 Windsor Drive Pinebrook, NJ 07058, Start Date: 7/1/2011, 4 HRS PER MO, Insurance/Investment related; TPS Financial, Member of a LLC, Founder and managing partner, 215 Route 15S Jefferson Twp, NJ 07885 and 280 Bloomfield Ave Verona, NJ 07044, Primary and for all mail should be Jefferson, Start Date: 1/1/2014, 160 HRS PER MO, INVESTMENT RELATED;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-01-15
S63	Uniform Securities Agent State Law Examination	1994-08-25

S65 Uniform Investment Adviser Law Examination

2001-01-15
S63 Uniform Securities Agent State Law Examination

1994-08-25