Rickey Dale Hughes

Employer firm

Osaic Institutions, Inc. CRD 35371

$6.49B regulatory AUM 7 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers
• Educational seminars
• SOLICITATION SERVICES FOR OTHER ADVISERS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2008 → Present
  Southern Bank
  Mount Olive, NC
• 09/2011 → Present
  Infinex Investments, Inc.
  Mount Olive, NC

Previous Registrations

• 2008-10-09 → 2011-09-15
  Uvest Financial Services Group, Inc.
  Charlotte, NC
  Mount Olive, NC
  Warsaw, NC
  Mt. Olive, NC
  Lagrange, NC
  Kenansville, NC
  Clinton, NC
• 2007-02-08 → 2008-10-08
  Edward Jones
  Goldsboro, NC

Other Businesses

1.) Southern Bank. Yes, investment related. Started Jan 2024. Financial Advisor Referral Program. 1% increase in grid payout if meet referral goal. Refer business to Southern Bank partners.

Exams

• S66 Uniform Combined State Law Examination
  2007-01-24
• S65 Uniform Investment Adviser Law Examination
  1998-07-02
• S63 Uniform Securities Agent State Law Examination
  1996-04-12

Other Names

• Rick Hughes
• Rickey Hughes