DD
Daniel J. Dugan
FINANCIAL PERSPECTIVES
Minneapolis, MN 55447-5341
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CRD#: 2447554
DD
Professional summary
Daniel James Dugan is a registered financial advisor currently at FINANCIAL PERSPECTIVES located in Minneapolis, Minnesota and PURSHE KAPLAN STERLING INVESTMENTS located in Minneapolis, Minnesota.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Daniel has worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE and Series 7 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.
1) FP TAX & ACCOUNTING, LLC DBA DUGAN & COMPANY. 3300 FERNBROOK LANE N, SUITE 250, MINNEAPOLIS, MN 55447. TAX PREPARER, 33% OWNER, SEASONAL. NOT INVESTMENT RELATED. 01/1994. 2) INSURANCE LICENSE, 3300 FERNBROOK LANE N, SUITE 250, MINNEAPOLIS, MN 55447. INVESTMENT RELATED. 02/1999. 3) NOTARY PUBLIC, 3300 FERNBROOK LANE N, SUITE 250, MN 55447. NOT INVESTMENT RELATED. 7/2002. 4) FINANCIAL PERSPECTIVES, INC., 3300 FERNBROOK LANE N, Suite 250, MINNEAPOLIS, MN 55447. RIA, INVESTMENT RELATED. 04/2005.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel James Dugan'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®
NoneExperience
Current
June 14, 2011 - Present
FINANCIAL PERSPECTIVES
Office #1: 3300 Fernbrook Ln N Suite 250, Minneapolis, MN 55447-5341RIA
CRD#: 135549
Minneapolis, MN
Current
August 1, 2013 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 3300 Fernbrook Lane N Suite 250, Minneapolis, MN 55447BD
CRD#: 35747
Minneapolis, MN
Past
February 1, 2010 - August 28, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
PLYMOUTH, MN
Past
March 17, 1994 - February 1, 2010
ASKAR CORP.
BD
CRD#: 7512
PLYMOUTH, MN
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".
FP
FINANCIAL PERSPECTIVES
FINANCIAL PERSPECTIVES | FPWEALTH | FP WEALTH | FP | FINANCIAL PERSPECTIVES, INC.
CRD#: 135549 / SEC#: 801-97343
RIA
Registered Investment Advisory firm - (6/2/2015 Approved)Colorado
Registered Investment Advisory firm - (6/19/2015 Terminated)Florida
Registered Investment Advisory firm - (6/4/2015 Terminated)Minnesota
Registered Investment Advisory firm - (6/4/2015 Terminated)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
Arizona(8/1/2013)
RR
California(8/1/2013)
RR
Colorado(8/1/2013)
RR
Florida(8/1/2013)
RR
Georgia(8/1/2013)
RR
Illinois(9/27/2022)
RR
Maryland(9/27/2022)
RR
Massachusetts(8/1/2013)
RR
Michigan(8/1/2013)
RR
Minnesota(8/1/2013)
IAR
Minnesota(12/9/2013)
RR
Missouri(8/1/2013)
RR
New Jersey(8/1/2013)
RR
New Mexico(6/7/2024)
RR
North Dakota(11/26/2024)
RR
South Dakota(8/1/2013)
IAR
Texas(6/8/2015)
RR
Washington(8/1/2013)
RR
Wisconsin(1/13/2021)
RR
Wyoming(1/13/2021)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FP
FINANCIAL PERSPECTIVES
FINANCIAL PERSPECTIVES | FPWEALTH | FP WEALTH | FP | FINANCIAL PERSPECTIVES, INC.
CRD#: 135549 / SEC#: 801-97343
RIA
Registered Investment Advisory firm - (6/2/2015 Approved)Colorado
Registered Investment Advisory firm - (6/19/2015 Terminated)Florida
Registered Investment Advisory firm - (6/4/2015 Terminated)Minnesota
Registered Investment Advisory firm - (6/4/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3300 Fernbrook Ln N Suite 250, Minneapolis, MN 55447-5341
Mailing Address
Phone number
(763) 553-7779
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,754 |
| AUM (Assets Under Management) | $ 1,000,250,400 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 08/23/2024 | ||
| 09/25/2023 | ||
| 10/26/2022 |
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.
