AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DF

Dugan J. Fife

APOLLO GLOBAL SECURITIES
New York, NY 10022
CRD#: 3014425
Some features on this profile are disabled
DF
Dugan James FifeAPOLLO GLOBAL SECURITIES

Professional summary

Dugan James Fife, who also goes by Dugan J Fife, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.

Dugan is registered as a RR (Registered Representative) and started their career in finance in 1998. Dugan has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dugan J Fife

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) - BD

Click below to view Dugan James Fife'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®
None

Experience

Current

February 6, 2026 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 300 Park Avenue 17th Floor, New York, NY 10022
BD
CRD#: 153502
New York, NY
Past

July 19, 2004 - January 20, 2026

HINES PRIVATE WEALTH SOLUTIONS LLC

BD
CRD#: 128145
ANN ARBOR, MI
Past

November 20, 2003 - July 30, 2004

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

September 19, 2002 - October 27, 2003

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

January 18, 2000 - October 23, 2002

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

February 11, 1999 - January 18, 2000

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

August 21, 1998 - February 11, 1999

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH

State Registrations and Notice Filings

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

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
Alabama
(2/6/2026)
RR
Alaska
(2/6/2026)
RR
Arizona
(2/6/2026)
RR
Arkansas
(2/6/2026)
RR
California
(2/6/2026)
RR
Colorado
(2/6/2026)
RR
Connecticut
(2/6/2026)
RR
Delaware
(2/6/2026)
RR
District of Columbia
(2/6/2026)
RR
Florida
(2/6/2026)
RR
Georgia
(2/6/2026)
RR
Hawaii
(2/6/2026)
RR
Idaho
(2/6/2026)
RR
Illinois
(2/6/2026)
RR
Indiana
(2/6/2026)
RR
Iowa
(2/6/2026)
RR
Kansas
(2/6/2026)
RR
Kentucky
(2/6/2026)
RR
Louisiana
(2/6/2026)
RR
Maine
(2/6/2026)
RR
Maryland
(2/6/2026)
RR
Massachusetts
(2/6/2026)
RR
Michigan
(2/6/2026)
RR
Minnesota
(2/6/2026)
RR
Mississippi
(2/6/2026)
RR
Missouri
(2/6/2026)
RR
Montana
(2/6/2026)
RR
Nebraska
(2/6/2026)
RR
Nevada
(2/6/2026)
RR
New Hampshire
(2/6/2026)
RR
New Jersey
(2/6/2026)
RR
New Mexico
(2/6/2026)
RR
New York
(2/6/2026)
RR
North Carolina
(2/6/2026)
RR
North Dakota
(2/6/2026)
RR
Ohio
(2/6/2026)
RR
Oklahoma
(2/6/2026)
RR
Oregon
(2/6/2026)
RR
Pennsylvania
(2/6/2026)
RR
Puerto Rico
(2/6/2026)
RR
Rhode Island
(2/6/2026)
RR
South Carolina
(2/6/2026)
RR
South Dakota
(2/6/2026)
RR
Texas
(2/6/2026)
RR
Utah
(2/6/2026)
RR
Vermont
(2/6/2026)
RR
Virgin Islands
(2/6/2026)
RR
Virginia
(2/6/2026)
RR
Washington
(2/6/2026)
RR
West Virginia
(2/6/2026)
RR
Wisconsin
(2/6/2026)
RR
Wyoming
(2/6/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/21/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/25/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AG
APOLLO GLOBAL SECURITIES, LLC
AP CM, LLC | ATLAS SP SECURITIES | APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502 / SEC#: , 8-68542

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Loading...

Contact information

Main Address
9 West 57th Street, New York, NY 10019-2701
Mailing Address
9 West 57th Street, New York, NY 10019-2701
Phone number
(212) 515-3200
Established
Delaware since 03/11/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
APOLLO GLOBAL SECURITIES INTERMEDIATE, L.P.SOLE MEMBER
CHATTERJEE, WHITNEY AMEMBER BOARD OFMANAGERS7874808
DRESCHER, STEPHANIEHEAD OF MARKETING3055145
LEVY, YAEL KENANCHIEF COMPLIANCE OFFICER4435788
NEEDLEMAN, ERIC DAVIDPRESIDENT2773431
TREBING, ADAM PMEMBER BOARD OF MANAGERS5828238
TREBING, ADAM PCFO / FINOP / PFO / POO5828238

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

APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502New York, NY 10022

TRUST BUT VERIFY

Monitor Dugan Fife

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anthony J. Macagna
Anthony MacagnaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
PARAMUS, NJ
Anita Narendra Srivastava
Anita SrivastavaAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Paramus, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.