Unclaimed Profile

Harold L Hughey

CAPRIN ASSET MANAGEMENT LLC·RICHMOND, Virginia

SIE, Series 7, Series 7TO, Series 57, Series 57TO, Series 63, Series 65CFAClean record20 years registeredCAPRIN ASSET MANAGEMENT LLC

1802 BAYBERRY COURT, RICHMOND, VA 23226CRD# 5081658Firm CRD# 106657

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Harold L Hughey · RICHMOND, VA

Registration

CRD #5081658 · CAPRIN ASSET MANAGEMENT LLC · 20 years registered

Brand Profile

Not yet started

Career History

TRUIST ADVISORY SERVICES, INC.

Sep 2020 – present

BB&T SECURITIES, LLC

Feb 2015 – Feb 2021

RICHMOND, VA

CAPRIN ASSET MANAGEMENT, LLC

Aug 2006 – Jan 2015

RICHMOND, VA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 7TO

Series 57

Series 57TO

Series 63

Series 65

Registration record

First registered · August 9, 2006

Years registered · 20

Professional designation · CFA

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CAPRIN ASSET MANAGEMENT LLC

CRD 106657 · SEC 801-53959

AUM

$1.4B

Regulatory assets under management

Employees

1,067 client accounts

Services offered by CAPRIN ASSET MANAGEMENT LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

Nonprofits & Foundations

View all advisors at CAPRIN ASSET MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does Harold L Hughey offer?

Harold L Hughey specializes in Investment Management, Wealth Management, Fee-Only Advisory. Contact their office in RICHMOND, Virginia for a consultation.

What are Harold L Hughey's credentials?

Harold L Hughey holds the following professional designations: CFA. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Harold L Hughey located?

Harold L Hughey is based in RICHMOND, Virginia, working with CAPRIN ASSET MANAGEMENT LLC. Their office serves clients in the RICHMOND metropolitan area and surrounding communities.

How does Harold L Hughey charge for services?

Harold L Hughey's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CAPRIN ASSET MANAGEMENT LLC?

CAPRIN ASSET MANAGEMENT LLC has approximately 10 employees and manages $1.4B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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