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701 5Th Avenue 74Th Floor, Seattle, WA 98104 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2023-07-19 |
Branch Locations
701 5Th Avenue 74Th Floor, Seattle, WA 98104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 12/1995 | 07/2018 |
| Transcend Wealth Collective, Llc | Short Hills | NJ | 12/2018 | 03/2022 |
| James P Hughes Consultant | New York | NY | 08/2018 | 11/2018 |
| Purshe Kaplan Sterling Investments | Albany | NY | 01/2019 | 03/2020 |
| Freestone Capital Management, Llc | Seattle | WA | 05/2023 | Present |
| Unemployed | Bernardsville | NJ | 03/2022 | 03/2023 |
1)SHEILA P HUGHES FAMILY TRUST 2012. NOT INVESTMENT RELATED. LOCATED AT 7501 CALIFORNIA AVE SW SEATTLE, WA 98136. IRREVOCABLE FAMILY TRUST ESTABLISHED BY JIM'S MOTHER TO TRANSFER TO HER HEIRS. TITLE IS TRUSTEE. STARTED DECEMBER 2012. 1 HR/MO IS DEVOTED TO THIS ACTIVITY. DUTIES INCLUDE BUSINESS MANAGEMENT, BILL PAYMENT & DISTRIBUTION MANAGEMENT.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-04-12 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-19 |
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