Fitzhugh L. Duggan
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.
Fitzhugh Lee Duggan, who also goes by Doug Duggan, Fitzhugh Lee Duggan III, was a registered financial advisor .
Fitzhugh is a previously registered financial advisor and started their career in finance in 1993. Fitzhugh had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2014 - February 13, 2015
ALLSTATE FINANCIAL SERVICES, LLC
September 27, 2012 - November 8, 2013
IBN FINANCIAL SERVICES, INC.
August 6, 2012 - September 20, 2012
SANDLAPPER WEALTH MANAGEMENT, LLC
March 14, 2012 - September 19, 2012
SANDLAPPER SECURITIES, LLC
February 1, 2012 - March 8, 2012
IFS SECURITIES
March 25, 2010 - October 20, 2011
NEW ENGLAND SECURITIES
March 17, 2010 - October 20, 2011
NEW ENGLAND SECURITIES
July 17, 2009 - February 12, 2010
MWA FINANCIAL SERVICES INC.
September 29, 2008 - April 15, 2009
LINCOLN INVESTMENT
June 17, 2008 - April 15, 2009
LINCOLN INVESTMENT
March 29, 2004 - June 4, 2008
FARMERS FINANCIAL SOLUTIONS, LLC
February 15, 2002 - May 23, 2002
PRIME CAPITAL SERVICES, INC.
January 20, 1998 - February 7, 2002
PROTRADER SECURITIES L.P.
September 26, 1997 - January 20, 1998
RIVER OAKS TRADING, L.P.
September 29, 1993 - September 8, 1997
ADVANTAGE CAPITAL CORPORATION
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
Series 55
Date: 5/5/1999
Limited Representative-Equity Trader ExamCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
