Kenneth F. Dugan

LEO FUND SERVICES

EDISON, NJ 08837

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CRD#: 2417378

Professional summary

Kenneth Francis Dugan, CFP®, who also goes by Ken Dugan, is a registered financial advisor currently at LEO FUND SERVICES, LLC located in Edison, New Jersey and LEO WEALTH, LLC located in Edison, New Jersey.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Kenneth has worked at 6 firms and has passed the Series 66, Series 63, Series 65, Series 7 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ken Dugan

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.

HOLDS AN ACTIVE INSURANCE LICENSE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Francis Dugan's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2000

Experience

Current

January 3, 2013 - Present

LEO FUND SERVICES, LLC

Office #1: 379 Thornall Street Floor 9-suite 9, Edison, NJ 08837

RIA

CRD#: 163259

EDISON, NJ

Current

October 20, 2016 - Present

LEO WEALTH, LLC

Office #1: 379 Thornall Street 6th Floor, Edison, NJ 08837

RIA

CRD#: 283891

Edison, NJ

Past

June 17, 2011 - December 21, 2012

FCG ADVISORS, LLC

RIA

CRD#: 40633

CHATHAM, NJ

Past

January 6, 2009 - August 15, 2011

COMPREHENSIVE WEALTH SOLUTIONS, LLC

RIA

CRD#: 131324

CHEYENNE, WY

Past

November 6, 2003 - November 25, 2008

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

PARSIPPANY, NJ

Past

May 13, 2003 - November 25, 2008

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

PARSIPPANY, NJ

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".

LEO WEALTH, LLC

CRD#: 283891 / SEC#: 801-108435

RIA

Registered Investment Advisory firm - (9/26/2016 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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(1/3/2013)

IAR

New York
(8/31/2021)

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: 9/11/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/8/1993

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/13/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 5/12/2003

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 7/26/1994

Non-Member General Securities Examination

Current Firm

LEO WEALTH, LLC

CRD#: 283891 / SEC#: 801-108435

RIA

Registered Investment Advisory firm - (9/26/2016 Approved)

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Contact information

Main Address

860 Airport Freeway Suite 402, Hurst, TX 76054

Mailing Address

Phone number

(817) 354-1090

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEO WEALTH, LLC - ADV PART 2A BROCHURE (7/24/2025)

Regulatory assets under management

Total Number of Accounts	4,566
AUM (Assets Under Management)	$ 2,655,950,651

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/11/2025	Cover Page	Report
10/23/2024	Cover Page	Report
11/30/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Kenneth F. Dugan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Francis Dugan's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEO WEALTH, LLC

FCG ADVISORS, LLC

COMPREHENSIVE WEALTH SOLUTIONS, LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

Primary Firm SEC Registration

LEO WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/11/2003

Series 63

Date: 12/8/1993

Series 65

Date: 10/13/1993

Series 7

Date: 5/12/2003

Series 2

Date: 7/26/1994

Current Firm

LEO WEALTH, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LEO WEALTH, LLC

TRUST BUT VERIFY

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