LD
Lisa A. Dugan
SECURE PLANNING
Portsmouth, NH 03801
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CRD#: 2979629
LD
Professional summary
Lisa Anne Dugan, CFP®, who also goes by Lisa Anne Delello, is a registered financial advisor currently at SECURE PLANNING, LLC located in Portsmouth, New Hampshire.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Lisa has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Anne Delello
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.
INSURANCE AGENT WITH SECURE PLANNING, LLC. LOCATED AT 42 MIDDLE STREET PORTSMOUTH, NH 03801. SHE HAS BEEN A INSURANCE AGENT WITH SECURE PLANNING SINCE HER HIRE DATE 07/06/1998. INSURANCE IS PART OF THE COMPREHENSIVE FINANCIAL PLANNING SECURE PLANNING PROVIDES TO ITS CLIENTS. APPROXIMATELY 1-4 HOURS A MONTH MAY BE DEVOTED TO INSURANCE PLANNING FOR OUR CLIENTS
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Anne Dugan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa Anne Dugan's 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®
CFP®
Start date: 2002
Experience
Current
November 16, 2007 - Present
SECURE PLANNING, LLC
Office #1: 42 Middle Street, Portsmouth, NH 03801Office #2: 42 Middle St, Portsmouth, NH 03801RIA
BD
CRD#: 42179
Portsmouth, NH
Current
July 21, 1998 - Present
SECURE PLANNING, LLC
Office #1: 42 Middle Street, Portsmouth, NH 03801Office #2: 42 Middle Street, Portsmouth, NH 03801RIA
BD
CRD#: 42179
Portsmouth, NH
Past
January 8, 1998 - August 7, 1998
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
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".
SP
SECURE PLANNING, LLC
FINN WEALTH ADVISORS | SECURE PLANNING, LLC | SECURE PLANNING, INC. | SECURE PLANNING INC | SECURE PLANNING
CRD#: 42179 / SEC#: 801-55630, 8-49737
RIA
Registered Investment Advisory firm - SEC (6/19/1998 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(11/16/2011)
RR
Arizona(12/18/2013)
RR
California(6/7/1999)
RR
Colorado(6/7/1999)
IAR
Colorado(11/21/2011)
RR
Florida(10/31/2014)
IAR
Florida(12/9/2016)
RR
Maine(6/7/1999)
IAR
Maine(11/16/2009)
RR
Massachusetts(6/7/1999)
IAR
Massachusetts(12/1/2009)
RR
Nevada(12/11/2020)
RR
New Hampshire(6/7/1999)
IAR
New Hampshire(11/16/2007)
RR
New York(12/11/2020)
RR
Pennsylvania(4/12/2017)
RR
Virginia(11/12/2020)
RR
Washington(6/7/1999)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SP
SECURE PLANNING, LLC
FINN WEALTH ADVISORS | SECURE PLANNING, LLC | SECURE PLANNING, INC. | SECURE PLANNING INC | SECURE PLANNING
CRD#: 42179 / SEC#: 801-55630, 8-49737
RIA
Registered Investment Advisory firm - SEC (6/19/1998 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
42 Middle Street, Portsmouth, NH 03801
Mailing Address
42 Middle Street, Portsmouth, NH 03801
Phone number
(603) 433-5515
Established
New Hampshire since 10/10/1990
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
6
SEC notice filing (8 States and Territories)
FINRA licenses (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 868 |
| AUM (Assets Under Management) | $ 169,334,279 |
Red Flags
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Company Information
SECURE PLANNING, LLC
CRD#: 42179Portsmouth, NH 03801TRUST BUT VERIFY
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