Richard L. Pugh
FINANCIAL SECURITY ADVISORY
JACKSONVILLE, NC 28540
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CRD#: 2317745
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
What are your service offerings?
Small Business Planning
Retirement Planning
Education Planning
Comprehensive Financial Planni...
Insurance Planning
Investment Planning
Retirement Income Management
Employee and Employer Plan Ben...
Estate Planning
Are you a "fiduciary"?
Yes
Aliases
Rick Pugh | Rik Pugh
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.
NAME OF BUSINESS: THE AMERICAN COLLEGE; NOT INVESTMENT-RELATED; ADDRESS: 270 S BRYN MAWR PA 19010; NATURE OF OTHER BUSINESS: SCHOOL; POSITION: PROFESSOR; START DATE: DECEMBER 2011; HOURS SPENT: 8 WEEKENDS/YR, 5 HOURS/WEEK; TRADE HOURS: 0; DUTIES: TEACH FINANCIAL PLANNING AND INSURANCE COURSES. NAME: PUGH & ASSOCIATES, INC.; NON-INVESTMENT-RELATED; ADDRESS: 824 GUM BRANCH RD, STE I, JACKSONVILLE NC 28540; NATURE OF BUSINESS: INSURANCE SALES; POSITION: OWNER; START DATE: 1997; HRS/MO:80; TRADING HRS/MO: 50; DUTIES: LIFE AND DISABILITY INSURANCE; FIXED ANNUITY SALES. NAME: LEGAL SHIELD; NON-INVESTMENT-RELATED; ADDRESS: 824 GUM BRANCH RD, STE I, JACKSONVILLE NC 28540; NATURE OF BUSINESS: LEGAL & ID THEFT PROTECTION; POSITION: INDEPENDENT CONTRACTOR; START DATE: 07/1993; HRS/MO:4; TRADING HRS/MO: 4; DUTIES: LEGAL THEFT PROTECTION.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Lee Pugh'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®
CFP®
Start date: 2006
Experience
Current
July 3, 1997 - Present
FINANCIAL SECURITY ADVISORY INC
Office #1: 824 Gum Branch Rd Suite I, Jacksonville, NC 28540RIA
CRD#: 110746
JACKSONVILLE, NC
Current
May 15, 1997 - Present
FINANCIAL SECURITY MANAGEMENT, INCORPORATED
Office #1: 824 Gum Branch Rd. Suite I, Jacksonville, NC 28540BD
CRD#: 43000
Jacksonville, NC
Past
March 31, 1995 - May 15, 1997
DAVENPORT-DUKES FINANCIAL SERVICES, INC.
BD
CRD#: 37664
Past
March 4, 1993 - March 22, 1995
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
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".
FS
FINANCIAL SECURITY ADVISORY INC
FINANCIAL SECURITY ADVISORY INC
CRD#: 110746 / SEC#: 801-54496
RIA
Registered Investment Advisory firm - (5/15/1997 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(1/9/2023)
RR
Florida(4/18/2002)
RR
Georgia(1/12/2016)
RR
Hawaii(7/31/2024)
RR
Maryland(1/5/2015)
RR
Mississippi(1/9/2023)
RR
New Hampshire(1/9/2024)
RR
New York(1/2/2004)
RR
North Carolina(6/10/1997)
IAR
North Carolina(12/31/2001)
RR
Pennsylvania(2/2/2018)
RR
Texas(5/2/2006)
IAR
Texas(1/6/2014)
RR
Virginia(5/15/1997)
IAR
Virginia(7/3/1997)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FS
FINANCIAL SECURITY ADVISORY INC
FINANCIAL SECURITY ADVISORY INC
CRD#: 110746 / SEC#: 801-54496
RIA
Registered Investment Advisory firm - (5/15/1997 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
477 Viking Drive Suite 305, Virginia Beach, VA 23452
Mailing Address
Phone number
(757) 431-1414
Established
Firm type
Fiscal year end
# of Employees
41
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,904 |
| AUM (Assets Under Management) | $ 1,570,635,977 |
Red Flags
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Company Information
FINANCIAL SECURITY ADVISORY INC
CRD#: 110746Jacksonville, NC 28540TRUST BUT VERIFY
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Contact information
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