Carrie HughesCRD Number: 6171315
Current Firm: Transamerica Financial Advisors, Inc.
Carrie Hughes (CRD# 6171315) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Orem, UT and has over 4 years of experience in the finance industry.
Uma Financial Services Inc.
Brighton Wealth Management, Inc.
|Intervivios, Pllc||Orem, UT||Nov 2015 - Current||1|
|Transamerica Financial Advisors, Inc.||Orem, UT||Mar 2013 - Current||4|
|Apeus Financial Group||Springville, UT||Aug 2012 - Current||4|
|World Financial Group||Orem, UT||Dec 2011 - Current||5|
|Edens Vine, LLC||Springville, UT||Feb 2010 - Current||7|
|Hughes Law||Springville, UT||Jan 2000 - Current||17|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 2013|
|S65||NASAA Investment Advisors Law Examination||Jul 2013|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management4,493MILLIONS
Total Number of Accounts33,842ACCOUNTS
Average Account Value$132,767
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV