Mark Joseph Hughes

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-03-08
IL	RA	APPROVED	2000-02-02

TX RA
APPROVED_RES

Since 2021-03-08
IL RA
APPROVED

Since 2000-02-02

Branch Locations

Lemont, IL • United States

3333 Finley Rd Ste 500, Downers Grove, IL 60515 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Principal Securities Inc	Lemont	IL	09/1987	Present
Principal Life Insurance Company	Lemont	IL	07/1998	Present
Hughes Financial	Lemont	IL	01/2000	Present

09/1987 → Present

Principal Securities Inc

Lemont, IL
07/1998 → Present

Principal Life Insurance Company

Lemont, IL
01/2000 → Present

Hughes Financial

Lemont, IL

Other Businesses

**GROUP BENEFITS/HUGHES FINANCIAL, SALES, 12/99-PRESENT, IL, NOT INVESTMENT RELATED. **OUTSIDE INSURANCE. SELLS AND SERVICES FIXED LIFE, FIXED ANNUITIES AND HEALTH. EFFECTIVE 2/13/2012.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-07-16
S63	Uniform Securities Agent State Law Examination	1991-12-27

S65 Uniform Investment Adviser Law Examination

1999-07-16
S63 Uniform Securities Agent State Law Examination

1991-12-27

Designations

Chartered Financial Consultant

View on SEC IAPD