Michael J. Dugan

WEALTHSPIRE RETIREMENT ADVISORY

Bethesda, MD 20817

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CRD#: 2903879

Professional summary

Michael Joseph Dugan JR, AIF®, who also goes by Michael Joseph Dugan, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Bethesda, Maryland.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Joseph Dugan

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.

Business Name: The Meltzer Group DBA NFP Investment Related: Yes Address: 6500 Rock Spring Drive Suite 500 Bethesda MD 20817 Nature of Business: Consulting Position, Title or Relationship: Sr. Retirement Plan Consultant Start Date: 11/12/2012 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Advise plan sponsors on fiduciary best practices for retirement plan oversight KESTRA ADVISORY SERVICES, LLC POSITION: Retirement Plan Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/03/2021 ADDRESS: 5707 Southwest Parkway Building 2 Ste. 400, Suite 410, Austin TX 78735, United States DESCRIPTION: Advising retirement plan clients on fund menu

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Dugan JR's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

April 8, 2024 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: 6500 Rock Spring Drive Suite 410, Bethesda, MD 20817

RIA

CRD#: 121254

Bethesda, MD

Past

December 1, 2016 - March 28, 2024

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

BETHESDA, MD

Past

February 15, 2013 - March 28, 2024

KESTRA INVESTMENT SERVICES, LLC

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Maryland
(4/8/2024)

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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Contact information

Main Address

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

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.

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Firm Stability Insights

Michael J. Dugan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Dugan JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

T. ROWE PRICE INVESTMENT SERVICES, INC.

STRATEGIC ADVISERS LLC

FIDELITY DISTRIBUTORS COMPANY LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 11/23/2016

Series 63

Date: 9/24/1997

SIE

Date: 10/1/2018

Series 7

Date: 3/9/1998

Series 6

Date: 7/1/1997

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

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