Thomas M. Dugan

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CRD#: 1950221

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.

Thomas Michael Dugan was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2006. Thomas had worked at 4 firms and has passed the Series 66, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CHICAGO, IL

Past

January 16, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CHICAGO, IL

Past

May 16, 2006 - June 12, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CHICAGO, IL

Past

May 16, 2006 - June 12, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CHICAGO, IL

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".

MITCHELL VAUGHT & TAYLOR INC

MITCHELL VAUGHT & TAYLOR INC | MITCHELL VAUGHT & WALKER INC

CRD#: 106160 / SEC#: 801-52668

RIA

Registered Investment Advisory firm - (8/12/1996 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/7/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 3

Date: 1/24/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/15/2006

General Securities Representative Examination

Current Firm

MITCHELL VAUGHT & TAYLOR INC

MITCHELL VAUGHT & TAYLOR INC | MITCHELL VAUGHT & WALKER INC

CRD#: 106160 / SEC#: 801-52668

RIA

Registered Investment Advisory firm - (8/12/1996 Approved)

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Contact information

Main Address

53 W. Jackson Suite 901, Chicago, IL 60604

Mailing Address

Phone number

(312) 922-1717

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MITCHELL VAUGHT AND TAYLOR ADV PARTS 2A AND 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts	257
AUM (Assets Under Management)	$ 42,403,351

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.

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Firm Stability Insights

Thomas M. Dugan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MITCHELL VAUGHT & TAYLOR INC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MITCHELL VAUGHT & TAYLOR INC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/7/2006

Series 3

Date: 1/24/2008

Series 7

Date: 5/15/2006

Current Firm

MITCHELL VAUGHT & TAYLOR INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MITCHELL VAUGHT & TAYLOR INC

TRUST BUT VERIFY

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