Paul S. Duggan

TRG ADVISORS

Lakewood Ranch, FL 34202

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CRD#: 1135600

Professional summary

Paul Shaughnessy Duggan, CFP® is a registered financial advisor currently at TRG ADVISORS, INC. located in Lakewood Ranch, Florida and TRG FINANCIAL, INC. located in Lakewood Ranch, Florida.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Paul has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 24 and Series 39 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.

TRG Advisors, Inc 07/2018 a Registered Investment Advisor, Investment related, 60 hours a month, 100% president owner and advisor 60 hours a month .

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Shaughnessy Duggan'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: 1987

Experience

Current

August 22, 2018 - Present

TRG ADVISORS, INC.

Office #1: 8470 Enterprise Circle Suite 110, Lakewood Ranch, FL 34202

RIA

CRD#: 297171

Lakewood Ranch, FL

Current

November 19, 1997 - Present

TRG FINANCIAL, INC.

Office #1: 8470 Enterprise Circle, Suite 110, Lakewood Ranch, FL 34202

CRD#: 43870

Lakewood Ranch, FL

Past

May 9, 1989 - February 5, 1991

ESSEX CAPITAL MARKETS, INC.

CRD#: 11896

ROCHESTER, NY

Past

May 3, 1985 - March 5, 1998

SUMMIT FINANCIAL SECURITIES, INC.

CRD#: 16359

AMHERST, NY

Past

April 25, 1985 - August 5, 1985

REYNOLDS KENDRICK STRATTON, INC.

CRD#: 10414

Past

June 6, 1983 - December 6, 1984

VANTAGE SECURITIES OF COLORADO, INC.

CRD#: 8622

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".

TRG ADVISORS, INC.

CRD#: 297171 / SEC#: 801-113776

RIA

Registered Investment Advisory firm - (7/2/2018 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

Arizona
(2/28/2022)

Florida
(3/2/1999)

IAR

Florida
(8/22/2018)

New York
(12/16/1997)

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

Series 63

Date: 1/13/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 7/25/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 4/3/1985

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

Current Firm

TRG ADVISORS, INC.

CRD#: 297171 / SEC#: 801-113776

RIA

Registered Investment Advisory firm - (7/2/2018 Approved)

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Contact information

Main Address

8470 Enterprise Circle Suite 110, Lakewood Ranch, FL 34202

Mailing Address

Phone number

(716) 204-7610

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRG ADVISORS, INC. (FL) AMENDED BROCHURE 2024 (3/29/2025)

Regulatory assets under management

Total Number of Accounts	206
AUM (Assets Under Management)	$ 547,667,109

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

Paul S. Duggan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Shaughnessy Duggan's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRG FINANCIAL, INC.

ESSEX CAPITAL MARKETS, INC.

SUMMIT FINANCIAL SECURITIES, INC.

REYNOLDS KENDRICK STRATTON, INC.

VANTAGE SECURITIES OF COLORADO, INC.

Primary Firm SEC Registration

TRG ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/13/1984

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1983

Series 14

Date: 1/2/2023

Series 24

Date: 7/25/1997

Series 39

Date: 4/3/1985

FINRA

Current Firm

TRG ADVISORS, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRG ADVISORS, INC.

TRUST BUT VERIFY

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