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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

DAVID JOHN HUGHES

Advisor at LPL FINANCIAL LLC

OXNARD, CA | THOUSAND OAKS, CA

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Search this name across graphsid dfx:ria:57cb07e9-23c2-5e15-82ff-836428a56f5d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jan 25, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 26, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 26, 1994
First registration: Jan 25, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 1665823

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 12, 2025	n/a	yes	OXNARD, CA\|THOUSAND OAKS, CA	Current employment
THE AMERIFLEX GROUP	Bd affiliated wealth	Jan 5, 2023	Jun 11, 2025	no	Thousand Oaks, CA	Previous registration
LANARK FINANCIAL, INC.	Bd affiliated wealth	Jul 25, 2016	Jan 5, 2023	no	AGOURA HILLS, CA\|TAMPA, FL\|AGOURA HILLS, CA\|SUMMIT, NJ\|THOUSAND OAKS, CA	Previous registration
KESTRA PRIVATE WEALTH SERVICES, LLC	Bd affiliated wealth	Jun 5, 2015	Jul 21, 2016	no	WOODLANDHILLS, CA\|AUSTIN, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Apr 9, 2009	Jun 5, 2015	no	WESTLAKE VILLAGE, CA\|WOODLAND HILLS, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 25, 2001	Apr 23, 2009	no	WOODLAND HILLS, CA\|WOODLAND HILLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
THE AMERIFLEX GROUP	LPL FINANCIAL LLC	Jun 11, 2025	Jun 12, 2025	1	Firm change	Ibd to ibd
LANARK FINANCIAL, INC.	THE AMERIFLEX GROUP	Jan 5, 2023	Jan 5, 2023	0	Firm change	Ibd to RIA
KESTRA PRIVATE WEALTH SERVICES, LLC	LANARK FINANCIAL, INC.	Jul 21, 2016	Jul 25, 2016	4	Firm change	Other
WELLS FARGO ADVISORS	KESTRA PRIVATE WEALTH SERVICES, LLC	Jun 5, 2015	Jun 5, 2015	0	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	WELLS FARGO ADVISORS	Apr 23, 2009	Apr 9, 2009	-14	Firm change	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 12, 2025 to presentfactForm ADV
→ THE AMERIFLEX GROUPRegistered adviserregistration: previous registration
Jan 5, 2023 to Jun 11, 2025factForm ADV
→ LANARK FINANCIAL, INC.Registered adviserregistration: previous registration
Jul 25, 2016 to Jan 5, 2023factForm ADV
→ KESTRA PRIVATE WEALTH SERVICES, LLCRegistered adviserregistration: previous registration
Jun 5, 2015 to Jul 21, 2016factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 9, 2009 to Jun 5, 2015factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 25, 2001 to Apr 23, 2009factForm ADV

Dated events

Occurred
Jun 11, 2025
Advisor changed firm
David John Hughes left The Ameriflex Group for Lpl Financial Llc (registered 2025-06-12)
Form ADVobserved 6 days ago
Occurred
Jan 5, 2023
Advisor changed firm
David John Hughes left Lanark Financial, Inc. for The Ameriflex Group (registered 2023-01-05)
Form ADVobserved 6 days ago