Bernard B. Duggan
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2024 - April 30, 2025
TWIN PEAKS WEALTH ADVISORS
July 10, 2010 - July 20, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 12, 1999 - July 19, 2010
THOMAS WEISEL PARTNERS LLC
December 19, 1997 - April 5, 1999
J.P. MORGAN SECURITIES LLC
June 12, 1997 - January 29, 1998
SALOMON BROTHERS INC.
March 13, 1996 - June 4, 1997
DB ALEX. BROWN LLC
November 15, 1994 - April 11, 1995
GKN SECURITIES CORP.
Primary Firm SEC Registration
TWIN PEAKS WEALTH ADVISORS
CRD#: 323817 / SEC#: 801-126874
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
TWIN PEAKS WEALTH ADVISORS
CRD#: 323817 / SEC#: 801-126874
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,592 |
| AUM (Assets Under Management) | $ 410,400,224 |
Red Flags
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