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MD

Michael J. Dugan

BUNQ
NEW YORK, NY 10018
Some features on this profile are disabled
CRD#: 1604211
MD

Professional summary

Michael Joseph Dugan is a registered financial professional currently at BUNQ located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 34, Series 3, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael 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®
None

Experience

Current

November 12, 2025 - Present

BUNQ

Office #1: 500 7th Avenue #14b104, New York, NY 10018
BD
CRD#: 334829
NEW YORK, NY
Past

December 22, 2022 - June 30, 2023

ONE GROWTH SECURITIES LLC

BD
CRD#: 310890
WILMINGTON, DE
Past

December 2, 2013 - June 30, 2023

DRIVEWEALTH, LLC

BD
CRD#: 165429
Jersey City, NJ
Past

October 25, 1989 - January 18, 2008

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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
Indiana
(2/3/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 1/22/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/23/2013
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 34
Date: 10/8/2010
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 2/5/2010
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/16/2013
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/28/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BU
BUNQ
BUNQ

CRD#: 334829 / SEC#: , 8-71344

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
500 7th Avenue #14b104, New York, NY 10018
Mailing Address
500 7th Avenue #14b104, New York, NY 10018
Phone number
(914) 471-0231
Established
Delaware since 03/11/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (20 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BUNQ GLOBAL LLCHOLDING FIRM
ARBAIZA, POLINA BDEPUTY CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR6571383
DUGAN, MICHAEL JOSEPHFINOP1604211
PASQUERELLA, JEFFREY MICHAELCHIEF COMPLIANCE OFFICER/ MANAGING DIRECTOR6741645

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.

Company Information

BUNQ

CRD#: 334829New York, NY 10018

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