David K. Dugan

CETERA INVESTMENT ADVISERS LLC

MARBLEHEAD, MA 01945

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CRD#: 1024104

Professional summary

David Kevin Dugan, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Marblehead, Massachusetts and CETERA ADVISORS LLC located in Marblehead, Massachusetts.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 2013; APX NUMBER OF HOURS PER WEEK: 0 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: N/A; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, ANNUITIES, AND LONG-TERM CARE. 2. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO ADDRESS: 172 LARKSPUR LANE UNIT #4, EAGLE VAIL, CO 81620; NATURE OF BUSINESS: REAL ESTATE; START DATE: 6/29/2016; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: N/A; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE RENTAL. 3. NAME OF OTHER BUSINESS: DBA STONE COAST ADVISORS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 2013; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 45 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Kevin Dugan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 10 Atlantic Ave Suite #28, Marblehead, MA 01945

RIA

CRD#: 105644

MARBLEHEAD, MA

Current

October 3, 2016 - Present

CETERA ADVISORS LLC

Office #1: 10 Atlantic Ave Suite #28, Marblehead, MA 01945

CRD#: 10299

Marblehead, MA

Past

October 3, 2016 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

January 24, 2014 - October 3, 2016

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

MARBLEHEAD, MA

Past

November 22, 2013 - October 3, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

MARBLEHEAD, MA

Past

October 29, 2010 - November 26, 2013

WINSLOW, EVANS & CROCKER, INC.

RIA

CRD#: 29686

PEABODY, MA

Past

October 29, 2010 - November 26, 2013

WINSLOW, EVANS & CROCKER, INC.

CRD#: 29686

PEABODY, MA

Past

January 1, 2008 - November 1, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BEVERLY, MA

Past

January 1, 2008 - November 1, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BEVERLY, MA

Past

February 26, 2004 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

PEABODY, MA

Past

February 13, 2003 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

PEABODY, MA

Past

September 6, 1997 - February 14, 2001

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

July 5, 1989 - August 1, 1997

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

December 17, 1986 - July 12, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

Past

January 25, 1982 - December 16, 1986

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(10/4/2016)

Maine
(12/27/2016)

Massachusetts
(10/3/2016)

IAR

Massachusetts
(3/21/2024)

New Hampshire
(10/3/2016)

Pennsylvania
(10/3/2016)

South Carolina
(4/29/2021)

Wisconsin
(10/3/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/23/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/10/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/23/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/16/1982

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David K. Dugan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Kevin Dugan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

WINSLOW, EVANS & CROCKER, INC.

WINSLOW, EVANS & CROCKER, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

JANNEY MONTGOMERY SCOTT LLC

A. G. EDWARDS & SONS, INC.

MORGAN STANLEY DW INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/23/2010

Series 63

Date: 2/10/1982

SIE

Date: 10/1/2018

Series 31

Date: 4/23/2009

Series 7

Date: 1/16/1982

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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