Robert A. Dugan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Allen Dugan, who also goes by Bob Dugan, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 8 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2008 - January 17, 2012
TRUSTMONT FINANCIAL GROUP, INC.
January 3, 2006 - February 6, 2008
INVESTACORP, INC.
January 6, 2005 - December 31, 2005
FIRST MONTAUK SECURITIES CORP.
January 18, 2002 - January 13, 2005
HORNOR, TOWNSEND & KENT, LLC
August 2, 1999 - January 11, 2002
MML INVESTORS SERVICES, LLC
April 17, 1990 - June 12, 1990
NORTH AMERICAN MANAGEMENT, INC.
April 20, 1989 - August 9, 1989
ASSET MANAGEMENT EQUITIES, LTD.
May 27, 1987 - October 3, 1988
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRUSTMONT FINANCIAL GROUP, INC.
CRD#: 18312 / SEC#: , 8-36439
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOCHINEZ, LACEY M | OWNER | 5809867 |
| DOCHINEZ, PETER DANIEL | OWNER | 6314091 |
| ABBOTT DECAROLIS, LAURA JEAN | OWNER/REGISTERED REPRESENTATIVE | 1523919 |
| DOCHINEZ, CLAUDIA ANN | OWNER | |
| DOCHINEZ, PETER DANIEL | OWNER | 1062112 |
| GIONTA, PAUL V | OWNER | |
| HEBERT, GEORGE PHILLIP | OWNER | 2309032 |
| HLADEK, ANTHONY CHARLES | PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATION OFFICER | 2700432 |
| PETRUCCI, MARY LOUISE | OWNER/REGISTERED REPRESENTATIVE | 2980671 |
| AULT, JAMES DANIEL | OWNER | 1439447 |
| BARZAK, DONALD JOHN | OWNER | 1856590 |
| HIXENBAUGH, MARY LYNNE | CHIEF COMPLIANCE OFFICER | 5623080 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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