Terrence K. 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.
Terrence Kelly Dugan was a registered financial professional .
Terrence is a previously registered financial professional and started their career in finance in 1988. Terrence had worked at 8 firms and has passed the Series 63, Series 7 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
July 21, 2000 - March 12, 2001
LUMENT SECURITIES, LLC
April 15, 1998 - March 31, 2000
DONAHUE SECURITIES, INC.
November 18, 1996 - February 25, 1997
MM ASCEND LIFE INVESTOR SERVICES, LLC
November 25, 1994 - March 3, 1995
MARINER FINANCIAL SERVICES, INC.
May 31, 1991 - November 18, 1992
MARKETING ONE SECURITIES, INC.
October 11, 1990 - May 6, 1991
COORDINATED CAPITAL SECURITIES, INC.
November 7, 1989 - October 10, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
March 14, 1988 - September 20, 1989
PRUCO SECURITIES, LLC.
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
LUMENT SECURITIES, LLC
CRD#: 14840 / SEC#: , 8-31175
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | SHAREHOLDER | |
| CROFT, JAMES FRANCIS | CHAIRMAN, BOARD OF MANAGERS | 2148025 |
| KIRKWOOD, ROBERT THOMAS | CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS | 6025468 |
| MAINELLI, KEVIN JOSEPH | MANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER | 1751991 |
| SMITH, MARY AGNES | CHIEF FINANCIAL OFFICER AND FINOP | 2498307 |
Red Flags
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