Sara J Hughes

CRD 4325913 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Burlington, VT

IA RegisteredBroker

Also appears in the source record as: Sara J. Hughes; Sara Julia Hughes - Hunt

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 66SIESeries 7
Registered states (43): Alaska · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Kansas · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 25
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (6)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Burlington, VT · IA capacity

Sep 16, 2013 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Burlington, VT · BC capacity

start not retrieved → present
Sanford C. Bernstein & Co., LLC
BD capacity

Dec 20, 2006 → Jan 22, 2008
Alliancebernstein Investments, Inc.
BD capacity

Apr 28, 2004 → Dec 31, 2006
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jun 7, 2001 → Aug 27, 2003
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Jun 26, 2002 → Mar 19, 2003

Source & corrections

Where this page comes from

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