Daniel James Dugan
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
FINANCIAL PERSPECTIVES | FPWEALTH | FP WEALTH | FP | FINANCIAL PERSPECTIVES, INC.
Contact Information
Main Address
3300 Fernbrook Ln N Suite 250, Minneapolis, MN 55447-5341Phone Number
(763) 553-7779# of Employees
14SEC notice filing (19 States and Territories)
Registered to provide investment advisory services in 19 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,852AUM (Assets Under Management)
$1,166,901,043Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/22/2026 | Cover Page | Report |
| 06/25/2025 | Cover Page | Report |
| 08/23/2024 | Cover Page | Report |
| 09/25/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
FINANCIAL PERSPECTIVES | FPWEALTH | FP WEALTH | FP | FINANCIAL PERSPECTIVES, INC.
State Registrations and Notice Filings
(8/1/2013)
(8/1/2013)
(8/1/2013)
(8/1/2013)
(8/1/2013)
(9/27/2022)
(10/9/2026)
(9/27/2022)
(8/1/2013)
(8/1/2013)
(8/1/2013)
(12/9/2013)
(8/1/2013)
(8/1/2013)
(6/7/2024)
(10/9/2026)
(11/26/2024)
(8/1/2013)
(6/8/2015)
(10/9/2026)
(8/1/2013)
(1/13/2021)
(1/13/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Daniel James Dugan's CRS (Customer Relationship Summary).
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