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DB

David C. Bugg

KPP ADVISORY SERVICES LLC
Louisville, KY 40222
Some features on this profile are disabled
CRD#: 2427658
DB

Professional summary

David Campbell Bugg is a registered financial advisor currently at KPP ADVISORY SERVICES LLC located in Louisville, Kentucky and LPL FINANCIAL LLC located in Louisville, Kentucky.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view David Campbell Bugg'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®
None

Experience

Current

October 5, 2017 - Present

KPP ADVISORY SERVICES LLC

Office #1: 9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222
RIA
CRD#: 289507
Louisville, KY
Current

June 10, 2015 - Present

LPL FINANCIAL LLC

Office #1: 9300 Shelbyville Rd Ste. 1310, Louisville, KY 40222-5170
RIA
BD
CRD#: 6413
LOUISVILLE, KY
Past

June 10, 2015 - February 27, 2018

LPL FINANCIAL LLC

RIA
CRD#: 6413
LOUISVILLE, KY
Past

March 17, 2009 - June 12, 2015

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA
CRD#: 453
LOUISVILLE, KY
Past

March 17, 2009 - June 12, 2015

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
LOUISVILLE, KY
Past

September 22, 2006 - March 18, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
LOUISVILLE, KY
Past

March 8, 2006 - March 18, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
LOUISVILLE, KY
Past

March 7, 2003 - March 8, 2006

ADVEST, INC.

BD
CRD#: 10
LOUISVILLE, KY
Past

December 4, 2002 - March 11, 2003

QUICK & REILLY, INC.

RIA
CRD#: 11217
LOUISVILLE, KY
Past

April 18, 1995 - March 11, 2003

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

May 16, 1994 - April 19, 1995

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
LOUISVILLE, KY
Past

November 24, 1993 - April 13, 1994

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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".
KA
KPP ADVISORY SERVICES LLC
DOWDY ROY FINANCIAL | ROI FINANCIAL | MONEY411 | KPPARTNERS ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES LLC

CRD#: 289507 / SEC#: 801-111709

RIA
Registered Investment Advisory firm - (9/15/2017 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
Alaska
(6/16/2015)
RR
Colorado
(5/9/2024)
RR
Florida
(6/10/2015)
RR
Illinois
(6/16/2015)
RR
Indiana
(6/17/2015)
RR
Kentucky
(6/10/2015)
IAR
Kentucky
(10/9/2017)
RR
Louisiana
(12/13/2024)
RR
Nevada
(12/19/2023)
RR
New York
(8/21/2015)
RR
Ohio
(5/31/2019)
RR
Oklahoma
(6/22/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/25/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/20/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/24/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/25/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/6/2001
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KA
KPP ADVISORY SERVICES LLC
DOWDY ROY FINANCIAL | ROI FINANCIAL | MONEY411 | KPPARTNERS ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES LLC

CRD#: 289507 / SEC#: 801-111709

RIA
Registered Investment Advisory firm - (9/15/2017 Approved)
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Contact information

Main Address
9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222
Mailing Address
Phone number
(502) 394-0400
Established
Firm type
Fiscal year end
# of Employees
35

SEC notice filing (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV2A KPP ADVISORY SERVICES LLC (2/10/2025)

Regulatory assets under management

Total Number of Accounts3,405
AUM (Assets Under Management)$ 874,251,636

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.

Company Information

KPP ADVISORY SERVICES LLC

CRD#: 289507Louisville, KY 40222

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