David H. Bugen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Henry Bugen was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1967. David had worked at 9 firms and has passed the Series 65, Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2002 - September 1, 2015
REGENTATLANTIC
January 16, 1997 - December 31, 2000
CADARET, GRANT & CO., INC.
November 4, 1996 - January 17, 1997
T.R. WINSTON & COMPANY, LLC
April 30, 1994 - December 8, 1994
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
May 19, 1992 - May 20, 1992
SUNAMERICA SECURITIES, INC.
July 1, 1982 - July 2, 1984
ANFS, INC.
February 20, 1980 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
October 25, 1972 - February 20, 1980
J. W. WELLER & CO., INC.
September 15, 1967 - January 9, 1976
INVESTMENT SERVICES INC
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
Series 1
Date: 9/13/1967
Registered Representative ExaminationCurrent Firm
REGENTATLANTIC
CRD#: 105995 / SEC#: 801-17301
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 2,131 |
| AUM (Assets Under Management) | $ 6,205,189,466 |
Red Flags
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