JD
James J. Dugan
MUFG SECURITIES AMERICAS
NEW YORK, NY 10020-1001
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CRD#: 1524763
JD
Professional summary
James Joseph Dugan, who also goes by James J Dugan, James Dugan, is a registered financial professional currently at MUFG SECURITIES AMERICAS INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1986. James has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James J Dugan | James 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Dugan'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®
NoneExperience
Current
May 12, 2016 - Present
MUFG SECURITIES AMERICAS INC.
Office #1: 1221 Avenue Of The Americas 6th Floor, New York, NY, 10020-1001BD
CRD#: 19685
NEW YORK, NY
Past
July 2, 2009 - March 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
December 21, 1994 - July 22, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 22, 1986 - November 1, 1994
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(5/12/2016)
RR
Alaska(5/12/2016)
RR
Arizona(5/12/2016)
RR
Arkansas(5/12/2016)
RR
California(5/12/2016)
RR
Colorado(5/12/2016)
RR
Connecticut(5/12/2016)
RR
Delaware(5/12/2016)
RR
District of Columbia(5/12/2016)
RR
Florida(5/12/2016)
RR
Georgia(5/12/2016)
RR
Hawaii(5/12/2016)
RR
Idaho(5/12/2016)
RR
Illinois(5/12/2016)
RR
Indiana(5/12/2016)
RR
Iowa(5/12/2016)
RR
Kansas(5/12/2016)
RR
Kentucky(5/12/2016)
RR
Louisiana(5/12/2016)
RR
Maine(5/12/2016)
RR
Maryland(5/12/2016)
RR
Massachusetts(5/12/2016)
RR
Michigan(5/12/2016)
RR
Minnesota(5/12/2016)
RR
Mississippi(5/12/2016)
RR
Missouri(5/12/2016)
RR
Montana(5/12/2016)
RR
Nebraska(5/12/2016)
RR
Nevada(5/12/2016)
RR
New Hampshire(5/12/2016)
RR
New Jersey(5/12/2016)
RR
New Mexico(5/12/2016)
RR
New York(5/12/2016)
RR
North Carolina(5/12/2016)
RR
North Dakota(5/12/2016)
RR
Ohio(5/12/2016)
RR
Oklahoma(5/12/2016)
RR
Oregon(5/12/2016)
RR
Pennsylvania(5/12/2016)
RR
Rhode Island(5/12/2016)
RR
South Carolina(5/12/2016)
RR
South Dakota(5/12/2016)
RR
Tennessee(10/30/2017)
RR
Texas(5/12/2016)
RR
Utah(5/12/2016)
RR
Vermont(5/12/2016)
RR
Virginia(5/12/2016)
RR
Washington(5/12/2016)
RR
West Virginia(5/12/2016)
RR
Wisconsin(5/12/2016)
RR
Wyoming(5/12/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/10/2014
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MUFG SECURITIES AMERICAS INC.
BOT SECURITIES, INC. | TOKYO-MITSUBISHI SECURITIES (USA), INC. | MUFG SECURITIES AMERICAS INC. | MUFG SECURITIES | MUFG | MITSUBISHI UFJ SECURITIES (USA), INC. | MITSUBISHI SECURITIES (USA), INC.
CRD#: 19685 / SEC#: , 8-43026
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001
Mailing Address
1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001
Phone number
(212) 405-7000
Established
New York since 12/08/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG AMERICAS HOLDINGS CORPORATION | DIRECT OWNER | |
| GARVEY, EILEEN ELIZABETH | INDEPENDENT NON-EXECUTIVE DIRECTOR | 7045039 |
| GREEN, CHARLES ERWIN JR | INTERNATIONAL CHIEF RISK OFFICER | 2939574 |
| GUNN, BRIAN | OUTSIDE DIRECTOR | 7453790 |
| KAMLANI, SUNEEL KISHIN | OUTSIDE DIRECTOR | 1856118 |
| KOMORIYA, MASATOSHI | OUTSIDE DIRECTOR | 8066085 |
| LINDENBERG, JONATHAN BLAKE | OUTSIDE DIRECTOR | 2430463 |
| MCHUGH, DENIS TIMOTHY | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1909225 |
| MILKMAN, PAUL DAVID | CHIEF INFORMATION SECURITY OFFICER | 1564708 |
| MORREALE, MONIQUE LILLIAN | GENERAL COUNSEL | 8184893 |
| RADCLIFFE, ALEXANDER HUGH JOSEPH | CHIEF FINANCIAL OFFICER | 7595877 |
| SCANDURA, STEPHEN THOMAS | CHIEF COMPLIANCE OFFICER | 4539229 |
| YAMASHITA, ATSUSHI | OUTSIDE DIRECTOR | 7562428 |
| YARIAN, MICHAEL JAMES | INTERNATIONAL BUSINESS HEAD OF SALES & TRADING | 2504162 |
Disclosures
| Regulatory Event | 5 |
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.
