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Gerald Charles Hughes

LPl Financial LLC

Upland, CA

Ontario, CA

CRD 1002083

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-11-19
CA RA APPROVED 2015-11-18
  • TX RA
    APPROVED_RES
    Since 2015-11-19
  • CA RA
    APPROVED
    Since 2015-11-18

Branch Locations

517 N Mountain Ave, #224, Upland, CA 91784 • United States

Ontario, CA • 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
Lpl Financial, Llc Claremont CA 11/2015 Present
Previous Registrations
  • 2013-11-25 → 2015-11-17
    D.A. Davidson & Co.
    Claremont, CA
  • 2013-11-04 → 2013-11-25
    Crowell Weedon & Co.
    West Covina, CA
  • 2007-06-11 → 2013-11-04
    Crowell, Weedon & Co.
    West Covina, CA
    West Covina, CA
  • 2000-10-03 → 2005-02-08
    Ubs Financial Services Inc.
    Brea, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-07
S63 Uniform Securities Agent State Law Examination 1981-09-17
  • S66 Uniform Combined State Law Examination
    2007-09-07
  • S63 Uniform Securities Agent State Law Examination
    1981-09-17

View on SEC IAPD

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