Richard L. Pugh
Professional summary
Richard Lee Pugh, CFP®, who also goes by Rick Pugh, Rik Pugh, is a registered financial advisor currently at FINANCIAL SECURITY ADVISORY INC located in Jacksonville, North Carolina and FINANCIAL SECURITY MANAGEMENT, INCORPORATED located in Jacksonville, North Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Lee Pugh's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2006
Experience
July 3, 1997 - Present
FINANCIAL SECURITY ADVISORY INC
Office #1: 824 Gum Branch Rd Suite I, Jacksonville, NC 28540May 15, 1997 - Present
FINANCIAL SECURITY MANAGEMENT, INCORPORATED
Office #1: 824 Gum Branch Rd. Suite I, Jacksonville, NC 28540March 31, 1995 - May 15, 1997
DAVENPORT-DUKES FINANCIAL SERVICES, INC.
March 4, 1993 - March 22, 1995
OSAIC WEALTH, INC.
Primary Firm SEC Registration
FINANCIAL SECURITY ADVISORY INC
CRD#: 110746 / SEC#: 801-54496
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/9/2023)
(1/13/2026)
(4/18/2002)
(1/12/2016)
(7/31/2024)
(1/5/2015)
(1/9/2023)
(1/9/2024)
(1/2/2004)
(6/10/1997)
(12/31/2001)
(2/2/2018)
(1/13/2026)
(5/2/2006)
(1/6/2014)
(5/15/1997)
(7/3/1997)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
FINANCIAL SECURITY ADVISORY INC
CRD#: 110746 / SEC#: 801-54496
Contact information
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,141 |
| AUM (Assets Under Management) | $ 1,743,248,795 |
Red Flags
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