Jonathan R. Duggan
Professional summary
Jonathan Richard Duggan, who also goes by Jonathan Richard Duggan Mr., is a registered financial advisor currently at TRG ADVISORS, INC. located in Alpharetta, Georgia and TRG FINANCIAL, INC. located in Alpharetta, Georgia.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Jonathan has worked at 2 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Richard Duggan's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 22, 2018 - Present
TRG ADVISORS, INC.
September 4, 2009 - Present
TRG FINANCIAL, INC.
January 15, 2002 - March 1, 2004
TRG FINANCIAL, INC.
Primary Firm SEC Registration
TRG ADVISORS, INC.
CRD#: 297171 / SEC#: 801-113776
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/22/2018)
(9/15/2009)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 10/4/2010
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
TRG ADVISORS, INC.
CRD#: 297171 / SEC#: 801-113776
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 206 |
| AUM (Assets Under Management) | $ 547,667,109 |
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.
