David Dugan, financial advisor Marblehead MA

David Dugan

CRD Number: 1024104
Current Firm: Cetera Investment Advisers LLC

David Dugan (CRD# 1024104) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Marblehead, MA and has over 42 years of experience in the finance industry. David Dugan has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Fidelity Personal And Workplace Advisors
Professional Designations
Company Name Location Dates Years
Cetera Investment Advisers LLC Schaumburg, IL Mar 2024 - Current < 1
Cetera Advisors LLC Denver, CO Oct 2016 - Current 7
Stone Coast Advisors, LLC Marblehead, MA Jan 2013 - Current 11
Investors Capital Corp. Lynnfield, MA Nov 2013 - Oct 2016 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1982
S65 NASAA Investment Advisors Law Examination Jul 2010
Disclosure Information

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, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for David K. Dugan
Phone Number: 888-528-2987
Registered State(s):
  • MA
By the Numbers
  • Total Assets Under Management
    33,356
    MILLIONS
  • Total Number of Accounts
    176,986
    ACCOUNTS
  • Average Account Value
    $188,469
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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, WY

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