David Dugan, financial advisor Lynnfield MA
86 score

David Dugan

CRD Number: 1024104
Current Firm: Investors Capital Advisory

David Dugan (CRD# 1024104) is an Investment Advisor Representative working at Investors Capital Advisory in Lynnfield, MA and has over 34 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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Professional Designations
Company Name Location Dates Years
Investors Capital Corp. Lynnfield, MA Nov 2013 - Current 3
Winslow, Evans & Crocker, Inc. Boston, MA Oct 2010 - Nov 2013 3
Wells Fargo Advisors Peabody, MA Dec 2008 - Oct 2010 1
Wachovia Securities, LLC Peabody, MA Jan 2008 - Dec 2008 < 1
A.g. Edwards & Sons, Inc. Chelmsford, MA Feb 2003 - Jan 2008 4
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, 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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for David K. Dugan
Phone Number: 800-949-1422
Registered State(s):
  • MA
By the Numbers
  • Total Assets Under Management
    1,571
    MILLIONS
  • Total Number of Accounts
    7,960
    ACCOUNTS
  • Average Account Value
    $197,401
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

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BADGES
86

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