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Detailed Report
Richard Allen Hugh
Richard A Hugh, Richard A. Hugh, Richard Hugh
CRD#: 2542570
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 70 S. Lake Ave.
Ste. 700
Pasadena, CA 91101
Registration History
19952000200520102015202020252 FIRMS2022 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 2022 (27 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - 2022 (25 years)
Disclosure(s)
View By:
11/5/2001
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 8/3/2022
B
Florida 8/3/2022
B
California 8/3/2022
B
Illinois 8/16/2022
IA
California 8/4/2022
B
Washington 8/3/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WESTERN INTERNATIONAL SECURITIES (CRD#:39262)
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101
Registered with this firm since 8/3/2022
B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101
Registered with this firm since 8/3/2022
Previous Registration(s)
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IA
 07/08/1997 - 08/11/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BEVERLY HILLS, CA
B
 11/08/1994 - 08/11/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BEVERLY HILLS, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.