David DuganCRD 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.
United Planners' Financial Services Of America A Limited Partner
Walnut Hill Advisors, LLC
|Investors Capital Corp.||Lynnfield, MA||Nov 2013 - Current||2|
|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|
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
Total Assets Under Management1,571MILLIONS
Total Number of Accounts7,960ACCOUNTS
Average Account Value$197,401
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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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