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Detailed Report
EDWARD LEONARD HUGHES
EDWARD LEONARD HUGHES III, TRES HUGHES
CRD#: 4685594
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 502 HUNGERFORD DR
ROCKVILLE, MD 20850
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - Present (15 years)BSUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2005 - 2009 (3 years)BWESTROCK ADVISORS, INC. (CRD# 114338)2004 - 2005 (<1 year)BPFS INVESTMENTS INC. (CRD# 10111)2003 - 2004 (<1 year)IASUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2006 - 2009 (2 years)
Disclosure(s)
View By:
1/25/2013
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 4/12/2021
B
Michigan 11/28/2022
B
California 4/29/2010
B
Missouri 3/15/2017
B
Colorado 10/22/2020
B
Montana 12/20/2023
B
Connecticut 4/12/2021
B
Nevada 8/6/2020
B
Delaware 4/12/2021
B
New Jersey 1/10/2018
B
District of Columbia 6/28/2016
B
New Mexico 8/22/2023
IA
District of Columbia 3/22/2024
B
New York 8/6/2020
B
Florida 4/29/2010
B
North Carolina 8/6/2020
B
Georgia 8/15/2017
B
Ohio 10/26/2022
B
Idaho 2/4/2020
B
Pennsylvania 4/29/2010
B
Illinois 9/13/2024
B
South Carolina 7/14/2015
B
Indiana 11/18/2020
B
Tennessee 1/24/2025
B
Kansas 1/2/2025
B
Texas 4/29/2010
B
Maine 8/5/2024
IA
Texas 11/15/2021
B
Maryland 4/29/2010
B
Virginia 4/29/2010
IA
Maryland 4/29/2010
B
Washington 11/28/2022
B
Massachusetts 7/8/2013
B
West Virginia 2/17/2022

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
WELLS FARGO ADVISORS (CRD#:19616)
502 HUNGERFORD DR, ROCKVILLE, MD 20850
1700 K ST NW STE 875, WASHINGTON, DC 20006
Registered with this firm since 4/29/2010
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
502 HUNGERFORD DR, ROCKVILLE, MD 20850
1700 K ST NW STE 875, WASHINGTON, DC 20006
Registered with this firm since 4/29/2010
Previous Registration(s)
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IA
 10/23/2009 - 04/30/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) COLUMBIA, MD
B
 10/23/2009 - 04/30/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) COLUMBIA, MD
IA
 01/09/2009 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) COLUMBIA, MD
B
 01/09/2009 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) COLUMBIA, MD
IA
 07/11/2006 - 01/29/2009 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) GLEN BURNIE, MD
B
 07/20/2005 - 01/29/2009 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) GLEN BURNIE, MD
B
 11/19/2004 - 06/17/2005 WESTROCK ADVISORS, INC. (CRD#:114338)
FINRA expelled the firm on 01/18/2011
NEW YORK, NY
B
 08/12/2003 - 07/01/2004 PFS INVESTMENTS INC. (CRD#:10111) DULUTH, GA
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.