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BD

Bernard B. Duggan

Some features on this profile are disabled
CRD#: 2557312
BD

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.

Bernard Brian Duggan, who also goes by Bernard Michael Duggan, Brian Duggan, Michael Duggan, was a registered financial professional .

Bernard is a previously registered financial professional and started their career in finance in 1994. Bernard had worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bernard Michael Duggan | Brian Duggan | Michael Duggan

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 24, 2024 - April 30, 2025

TWIN PEAKS WEALTH ADVISORS

RIA
CRD#: 323817
Sausalito, CA
Past

July 10, 2010 - July 20, 2023

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
SAN FRANCISCO, CA
Past

March 12, 1999 - July 19, 2010

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

December 19, 1997 - April 5, 1999

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 12, 1997 - January 29, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

March 13, 1996 - June 4, 1997

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

November 15, 1994 - April 11, 1995

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY

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".
TP
TWIN PEAKS WEALTH ADVISORS
TWIN PEAKS WEALTH ADVISORS | TWIN PEAKS WEALTH ADVISORS, LLC

CRD#: 323817 / SEC#: 801-126874

RIA
Registered Investment Advisory firm - (11/10/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/28/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/21/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/14/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/14/1994
General Securities Representative Examination

Current Firm

TP
TWIN PEAKS WEALTH ADVISORS
TWIN PEAKS WEALTH ADVISORS | TWIN PEAKS WEALTH ADVISORS, LLC

CRD#: 323817 / SEC#: 801-126874

RIA
Registered Investment Advisory firm - (11/10/2022 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
San Francisco, CA
Mailing Address
Phone number
(650) 200-0308
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (7 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

2A BROCHURE (12/12/2025)

Regulatory assets under management

Total Number of Accounts1,592
AUM (Assets Under Management)$ 410,400,224

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

TWIN PEAKS WEALTH ADVISORS

CRD#: 323817

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