MD
Michael G. Dugan
PRIVATE CLIENT SERVICES
Raritan, NJ 08869
Some features on this profile are disabled
CRD#: 1290083
MD
Professional summary
Michael George Dugan SR, CFP®, who also goes by Michael George Dugan, is a registered financial advisor currently at PRIVATE CLIENT SERVICES, LLC located in Raritan, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael George Dugan
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) CONKEL LLC PTNR; OWNR; OFFICE CONDO; RARITAN NJ; START 10/07; 2 HR/MTH; RENTAL PPTY 2) DUGAN FIN SVCS; SOLE PROP; Raritan NJ; PRES/OWNER; FIN SVCS; COLLECT INS CARRIERS FROM MEDICAL DENTAL GROUP LIFE & DI, FIXED LIFE, FIXED ANN; 1/90 START; 80 HRS/MTH 3)PROFESSIONAL GROUP PLANS. PRODUCER. START JUNE, 2011. 10 HRS/MONTH, 1 DURING TRADING HOURS, $8,000 EARNINGS ANNUALLY. 4)ANCIENT ORDER OF HIBERIANS; MEMBER; IRISH CATHOLIC NAT'L ORGANIZATION; START 7/17/13; 1 HR PER MONTH; 0 HRS DURING TRADING; $0 COMPENSATION. 5)WALSH BENEFITS; PRODUCER; HEALTH INSURANCE, GROUP LIFE, LTD; START 9/19/2013; 10 HRS PER MONTH; 1 HR DURING TRADING; $50,000 COMPENSATION ANNUALLY. 6)OXFORD/UNITED HEALTHCARE; PRODUCER; HEALTH INSURANCE; START 11/27/2013; 10 HRS PER MONTH; 1 HR DURING TRADING; $5,000 COMPENSATION ANNUALLY. 7)AETNA, INC; PRODUCER; INSURANCE PRODUCTS; START 11/27/2013; 10 HRS PER MONTH; 1 HR DURING TRADING; $8,000 COMPENSATION ANNUALLY. 8)CECCHETTINI INSURANCE DIVISION OF WORLD INS ASSOC; RECEIVES REFERRALS ON MEDICAL AND LIFE INS CLIENTS; 115 EAST GROVE STREET, WESTFIELD, NJ 07090; EFFECTIVE DATE 1/1/2014. APPROXIMATELY 10 HRS PER MONTH, 5 DURING TRADING HRS, ESTIMATED EARNINGS VARIABLE, NON-INVESTMENT RELATED. 9) ASH BROKERAGE, 303 WEST MAIN STREET, SUITE 200, FREEHOLD, NJ 07728. LIFE INSURANCE AND ANNUITY BROKER. AGENT. 40 HOURS/MO; 35 DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Michael George Dugan SR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael George Dugan SR's 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®
Start date: 1987
Experience
Current
May 3, 2010 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 1124 Route 202 South Unit A6, Raritan, NJ 08869RIA
BD
CRD#: 120222
Raritan, NJ
Current
May 3, 2010 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 1124 Route 202 South Unit A6, Raritan, NJ 08869RIA
BD
CRD#: 120222
Raritan, NJ
Past
February 15, 2008 - May 6, 2010
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
RARITAN, NJ
Past
February 15, 2008 - May 6, 2010
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
RARITAN, NJ
Past
August 26, 1997 - February 25, 2008
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
CRANFORD, NJ
Past
November 2, 1989 - February 25, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
CRANFORD, NJ
Past
April 26, 1988 - June 25, 1990
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
January 16, 1985 - May 18, 1988
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
Past
September 11, 1984 - May 4, 1988
MOORE & SCHLEY/MEEKER SHARKEY GROUP INC.
BD
CRD#: 13502
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".
PC
PRIVATE CLIENT SERVICES, LLC
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | SILVERLEAF WEALTH ADVISORY | PRIVATE CLIENT SERVICES, LLC | PCS ADVISORS | MCGILL FINANCIAL ENSEMBLE | MARION INVESTMENT ADVISORS | LINDLE HENNESSEY GROUP | KFG PRIVATE CLIENT SERVICES, LLC | KENTUCKY FINANCIAL GROUP | J&G FINANCIAL | IMPACT WEALTH GROUP | IARANN WEALTH | HERITAGE WEALTH GROUP | HAFELE INVESTMENTS | FIORI FINANCIAL | FINANCIAL CONSULTANTS GROUP | EVERGREEN STRATEGIC WEALTH | ENTHEOS FINANCIAL | DUNCAN AND HARDIN FINANCIAL | DUGAN FINANCIAL SERVICES | BURKE FINANCIAL SERVICES | BRIGHTLINE FINANCIAL | BLUE OCEAN GLOBAL WEALTH
CRD#: 120222 / SEC#: 801-71475, 8-68183
RIA
Registered Investment Advisory firm - SEC (5/25/2010 Approved)Delaware
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Florida
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/4/2010 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/5/2018 Approved)Ohio
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (12/9/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
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
RR
Alabama(8/1/2016)
RR
Arizona(10/14/2015)
RR
California(1/15/2013)
RR
Connecticut(1/4/2016)
RR
Delaware(3/27/2012)
RR
Florida(1/3/2011)
RR
Georgia(1/3/2011)
RR
Illinois(11/29/2022)
RR
Indiana(3/6/2018)
RR
Kentucky(4/21/2020)
RR
Maine(11/19/2021)
RR
Maryland(1/15/2013)
RR
Massachusetts(1/28/2015)
RR
Michigan(1/15/2013)
RR
Minnesota(4/18/2017)
RR
Nevada(1/15/2013)
RR
New Hampshire(8/17/2017)
RR
New Jersey(5/3/2010)
IAR
New Jersey(5/3/2010)
RR
New York(5/3/2010)
RR
North Carolina(1/3/2011)
RR
Ohio(4/28/2021)
RR
Oregon(4/7/2022)
RR
Pennsylvania(5/3/2010)
RR
Rhode Island(1/15/2013)
RR
South Carolina(10/23/2014)
RR
Texas(1/4/2016)
RR
Vermont(5/17/2011)
RR
Virginia(1/15/2013)
RR
Washington(1/4/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PRIVATE CLIENT SERVICES, LLC
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | SILVERLEAF WEALTH ADVISORY | PRIVATE CLIENT SERVICES, LLC | PCS ADVISORS | MCGILL FINANCIAL ENSEMBLE | MARION INVESTMENT ADVISORS | LINDLE HENNESSEY GROUP | KFG PRIVATE CLIENT SERVICES, LLC | KENTUCKY FINANCIAL GROUP | J&G FINANCIAL | IMPACT WEALTH GROUP | IARANN WEALTH | HERITAGE WEALTH GROUP | HAFELE INVESTMENTS | FIORI FINANCIAL | FINANCIAL CONSULTANTS GROUP | EVERGREEN STRATEGIC WEALTH | ENTHEOS FINANCIAL | DUNCAN AND HARDIN FINANCIAL | DUGAN FINANCIAL SERVICES | BURKE FINANCIAL SERVICES | BRIGHTLINE FINANCIAL | BLUE OCEAN GLOBAL WEALTH
CRD#: 120222 / SEC#: 801-71475, 8-68183
RIA
Registered Investment Advisory firm - SEC (5/25/2010 Approved)Delaware
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Florida
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/4/2010 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/5/2018 Approved)Ohio
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (12/9/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
2225 Lexington Rd., Louisville, KY 40206
Mailing Address
2225 Lexington Rd., Louisville, KY 40206
Phone number
(502) 451-0600
Established
Kentucky since 02/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
60
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KFG ENTERPRISES, INC. | SHAREHOLDER | |
| PRIVATE CLIENT SERVICES EMP STOCK OWNERSHIP PLAN & TRUST | ESOP TRUST | |
| GRAHAM, TIMOTHY DALEY | PRESIDENT | 4461811 |
| IRONSIDE, JULIA MEYER | FINOP | 2441578 |
| MILLS, STEVEN RICHARD | CHIEF OPERATIONS OFFICER | 3133520 |
| SAMPSON, ERNEST AUBREY | MANAGING MEMBER, ESOP TRUSTEE | 2001651 |
| TAYLOR-JONES, JOHN PHILIP | CHIEF COMPLIANCE OFFICER | 2171620 |
| WESCOTT, MARY ELIZABETH | CHIEF ADMINISTRATION OFFICER | 4404797 |
Regulatory assets under management
| Total Number of Accounts | 3,271 |
| AUM (Assets Under Management) | $ 1,051,273,980 |
Disclosures
| Regulatory Event | 1 |
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.
