Michael J. Dugan
Professional summary
Michael Joseph Dugan was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael Joseph Dugan, who also goes by Michael J Dugan, Michael Joe Dugan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 30 firms and has passed the Series 63, SIE 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
October 11, 2024 - June 26, 2025
ALEXANDER CAPITAL, L.P.
July 11, 2024 - September 12, 2024
ALEXANDER CAPITAL, L.P.
April 17, 2023 - April 16, 2024
CRAFT CAPITAL MANAGEMENT LLC
March 6, 2017 - May 1, 2023
SPARTAN CAPITAL SECURITIES, LLC
September 22, 2015 - April 15, 2016
CHELSEA FINANCIAL SERVICES
August 4, 2015 - September 23, 2015
AVENIR FINANCIAL GROUP
October 1, 2014 - August 4, 2015
CHELSEA FINANCIAL SERVICES
September 13, 2013 - October 14, 2014
AVENIR FINANCIAL GROUP
June 5, 2013 - August 21, 2013
CHELSEA FINANCIAL SERVICES
December 11, 2012 - June 24, 2013
AVENIR FINANCIAL GROUP
May 9, 2012 - January 2, 2013
PHX FINANCIAL, INC.
February 27, 2012 - April 16, 2012
OLSON, CROSS & ALAMO LLC
January 9, 2012 - February 27, 2012
PHD CAPITAL
June 13, 2011 - January 6, 2012
CALDWELL INTERNATIONAL SECURITIES
November 11, 2010 - June 20, 2011
CHARLES MORGAN SECURITIES, INC.
May 18, 2010 - November 16, 2010
SEABOARD SECURITIES, INC.
November 17, 2009 - February 22, 2010
ANDREW GARRETT INC.
June 17, 2008 - June 29, 2009
GLOBAL ARENA CAPITAL CORP
October 17, 2007 - October 24, 2007
BRILL SECURITIES, INC.
March 10, 2006 - June 4, 2008
CLARK DODGE & CO., INC.
January 10, 2005 - February 8, 2006
CAC CAPITAL CORP
July 28, 2004 - November 26, 2004
ASG SECURITIES, INC.
October 1, 2003 - February 27, 2004
GREAT EASTERN SECURITIES, INC.
April 22, 2003 - July 18, 2003
BENCHMARK SECURITIES GROUP, INC.
May 27, 2002 - February 6, 2003
S.G. MARTIN SECURITIES LLC
March 1, 2002 - May 22, 2002
LEGEND SECURITIES, INC.
February 23, 2001 - March 15, 2001
VALLEY FORGE SECURITIES, INC .
November 30, 2000 - March 28, 2001
ROYAL HUTTON SECURITIES CORP.
August 11, 2000 - December 11, 2000
LH ROSS & COMPANY, INC.
June 8, 2000 - June 16, 2000
LCP CAPITAL CORP.
January 13, 2000 - May 23, 2000
CONTINENTAL BROKER-DEALER CORP.
August 23, 1999 - December 8, 1999
LH ROSS & COMPANY, INC.
February 11, 1999 - July 14, 1999
LCP CAPITAL CORP.
June 16, 1998 - January 20, 1999
SHAMROCK PARTNERS, LTD
September 10, 1997 - May 18, 1998
J.P. TURNER & COMPANY, L.L.C.
June 30, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
May 28, 1997 - June 4, 1997
LT LAWRENCE & CO., INC.
March 3, 1997 - May 22, 1997
LCP CAPITAL CORP.
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
Current Firm
ALEXANDER CAPITAL, L.P.
CRD#: 40077 / SEC#: , 8-48957
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENA MANAGEMENT LLC | PARTNER | |
| JSEC INC | PARTNER | |
| SALKIND, CATHERINE P | PARTNER | 7021439 |
| RUGGIERE, JOSEPH MATTHEW | PARTNER | 2548108 |
| RUGGIERE, WAYNE NMN | PARTNER | 7200730 |
| SALKIND, GENE Z | PARTNER | 7021417 |
| AMATO, JOSEPH ANTHONY | CEO | 2751635 |
| ELDREDGE, MICHAEL WILLIAM | BRANCH MANAGER ATL OFFICE | 2903014 |
| FAUCI, JODI | GENERAL SECS PRINCIPAL | 4189732 |
| FEMIANO, JOHN FRANCIS | GENERAL SECS PRINCIPAL, ANNUUITIES PRINCIPAL | 2132030 |
| FRANCONE, VITO ANTONIO II | COMPLIANCE ASSOCIATE | 2349326 |
| GUIDICIPIETRO, ROCCO GERARD | COO | 2489732 |
| KRISPEAL, RAQUEL E | SENIOR COMPLIANCE OFFICER, BRANCH MANAGER | 5733217 |
| MARTORANO, CARL MARIO | BRANCH MANAGER/OPERATIONS MANAGER/ROSFP | 2286051 |
| MESSINA, PAUL MICHAEL | GENERAL SECS PRINCIPAL, ROSFP, CO-MSRB PRINCIPAL | 5897543 |
| MISITI, MICHELE ANN | CHIEF COMPLIANCE OFFICER - ROSFP - AML OFFICER | 1931272 |
| ROTH, BARBARA NMN | PARTNER | 7200728 |
| SKOVRONCK, JEANPAUL CHARLES | DESIGNATED SUPERVISOR, DEPUTY AML OFFICER | 2744738 |
| STACK, TIMOTHY | SENIOR COMPLIANCE OFFICER | 1426363 |
| STAFFORD, LAWRENCE ROBERT | CHIEF TECHNOLOGY OFFICER | 7046577 |
| SULLIVAN, THOMAS FRANCIS | FINOP/CHIEF FINANCIAL OFFICER/CO-MSRB PRINCIPAL | 1145000 |
| THE SALKIND FAMILY FOUNDATION | PARTNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
