John K. Duggan

ARLEN WEALTH MANAGEMENT

SARASOTA, FL 34236

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CRD#: 4361628

Professional summary

John Kane Duggan is a registered financial advisor currently at ARLEN WEALTH MANAGEMENT, LLC located in Sarasota, Florida.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. John has worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view John Kane Duggan'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®

None

Experience

Current

June 17, 2010 - Present

ARLEN WEALTH MANAGEMENT, LLC

Office #1: 1990 Main Street Suite 750, Sarasota, FL 34236

RIA

CRD#: 150618

SARASOTA, FL

Past

June 16, 2001 - December 31, 2008

PNC CAPITAL MARKETS LLC

CRD#: 15647

PITTSBURGH, PA

Past

April 23, 2001 - June 16, 2001

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

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

Florida
(10/6/2014)

IAR

Pennsylvania
(6/17/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/15/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/5/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 4/21/2001

General Securities Representative Examination

Current Firm

ARLEN WEALTH MANAGEMENT, LLC

CRD#: 150618 / SEC#: 801-70349

RIA

Registered Investment Advisory firm - (6/27/2012 Terminated)

Florida

Registered Investment Advisory firm - (10/6/2014 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/5/2012 Approved)

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).

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Contact information

Main Address

1990 Main Street Suite 750, Sarasota, FL 34236

Mailing Address

Phone number

(941) 309-5313

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 63,311,808

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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John K. Duggan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Kane Duggan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARLEN WEALTH MANAGEMENT, LLC

PNC CAPITAL MARKETS LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/15/2010

Series 66

Date: 6/5/2002

Series 7

Date: 4/21/2001

Current Firm

ARLEN WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ARLEN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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