DF
Dugan J. Fife
HINES PRIVATE WEALTH SOLUTIONS LLC
ANN ARBOR, MI
Some features on this profile are disabled
CRD#: 3014425
DF
Professional summary
Dugan James Fife, who also goes by Dugan J Fife, is a registered financial professional currently at HINES PRIVATE WEALTH SOLUTIONS LLC located in Ann Arbor, Michigan.
Dugan is registered as a RR (Registered Representative) and started their career in finance in 1998. Dugan has worked at 6 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.
CRS (Client Relationship Summary) - BD
Click below to view Dugan James Fife'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®
NoneExperience
Current
July 19, 2004 - Present
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(8/10/2007)
RR
Alaska(8/10/2007)
RR
Arizona(8/10/2007)
RR
Arkansas(8/10/2007)
RR
California(8/10/2007)
RR
Colorado(8/10/2007)
RR
Connecticut(8/10/2007)
RR
Delaware(8/10/2007)
RR
District of Columbia(8/10/2007)
RR
Florida(8/10/2007)
RR
Georgia(8/10/2007)
RR
Hawaii(8/10/2007)
RR
Idaho(8/10/2007)
RR
Illinois(8/10/2007)
RR
Indiana(7/19/2004)
RR
Iowa(8/10/2007)
RR
Kansas(8/10/2007)
RR
Kentucky(8/10/2007)
RR
Louisiana(8/10/2007)
RR
Maine(8/10/2007)
RR
Maryland(8/10/2007)
RR
Massachusetts(8/10/2007)
RR
Michigan(7/19/2004)
RR
Minnesota(8/10/2007)
RR
Mississippi(8/10/2007)
RR
Missouri(8/10/2007)
RR
Montana(8/10/2007)
RR
Nebraska(8/10/2007)
RR
Nevada(8/10/2007)
RR
New Hampshire(8/10/2007)
RR
New Jersey(8/10/2007)
RR
New Mexico(8/10/2007)
RR
New York(8/10/2007)
RR
North Carolina(8/10/2007)
RR
North Dakota(8/10/2007)
RR
Ohio(8/10/2007)
RR
Oklahoma(8/10/2007)
RR
Oregon(8/10/2007)
RR
Pennsylvania(8/10/2007)
RR
Puerto Rico(8/10/2007)
RR
Rhode Island(8/10/2007)
RR
South Carolina(8/10/2007)
RR
South Dakota(8/10/2007)
RR
Tennessee(8/10/2007)
RR
Texas(7/19/2004)
RR
Utah(8/10/2007)
RR
Vermont(8/10/2007)
RR
Virginia(8/10/2007)
RR
Washington(8/10/2007)
RR
West Virginia(8/10/2007)
RR
Wisconsin(8/10/2007)
RR
Wyoming(8/10/2007)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HP
HINES PRIVATE WEALTH SOLUTIONS LLC
HINES PRIVATE WEALTH SOLUTIONS LLC | HINES SECURITIES, INC. | HINES REAL ESTATE SECURITIES, INC. | HINES REAL ESTATE INVESTMENTS, INC.
CRD#: 128145 / SEC#: , 8-66096
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
845 Texas Avenue Suite 3300, Houston, TX 77002
Mailing Address
845 Texas Avenue Suite 3300, Houston, TX 77002
Phone number
(888) 446-3773
Established
Delaware since 03/28/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HINES RETAIL SECURITIES LLC | OWNER | |
| CARUSO, JOHN ARMOND | MANAGING DIRECTOR, MANAGER | 5524146 |
| FERRARO, PAUL JAMES | SENIOR MANAGING DIRECTOR - HEAD OF PRIVATE WEALTH SOLUTIONS, MANAGER, CEO | 2479671 |
| FOGG, RICHARD MATTHEW JR | MANAGING DIRECTOR - SHAREHOLDER SERVICES AND OPERATIONS; ANTI-MONEY LAUNDERING COMPLIANCE OFFICER; SECRETARY AND TREASURER | 2669807 |
| HILL, LERONICA CARRIETTA | CHIEF COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE; ASSISTANT SECRETARY | 4936282 |
| HUSSEIN, SHAUN R | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5193143 |
Disclosures
| Regulatory Event | 1 |
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.
