John M. Dugas

LPL ENTERPRISE

DURANGO, CO 81301

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CRD#: 4524334

Professional summary

John Mathew Dugas, CFP®, who also goes by John M. Dugas, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Durango, Colorado.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. John has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John M. Dugas

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.

1) 10/30/2024- Blue Horizon Management, LLC- Real Estate Rental- My involvement is a passive one. I am only involved when decisions need to be made around the expansion of BHP's real estate interests, expense/cash flow discussion.- INV Related- At Durango, CO- Start date 03/09/2011- 0 HRS MTH- 0 HRS During Trading 2) 10/30/2024- Blue Horizon Properties, LLC- Real Estate Rental- evelopment of and operation of residential assistant living facilities. My involvement is a passive one. I am only involved when decisions need to be made around the expansion of BHP's real estate interests, expense/cash flow discussion.- INV Related- At Durango, CO- Start date 06/01/2019- 0 HRS MTH- 0 HRS During Trading 3) 10/22/2024- Dugas & Associates Insurance and Financial Services- DBA for LPL Business (entity for LPL business)- Conduct Financial Planning and investment advisory services for new and existing client. Sale of financial services insurance and investment products for Prudential and other sponsored Outbrokerage companies. - Start date 01/01/2020- 130 HRS MTH- 130 HRS During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Mathew Dugas's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John Mathew Dugas'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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1485 Florida Rd. Building C Suite 204, Durango, CO 81301Office #3: 8300 Carmel Ne Suite 503, Albuquerque, NM 87122

RIA

CRD#: 8733

DURANGO, CO

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1485 Florida Rd. Building C Suite 204, Durango, CO 81301Office #2: 8300 Carmel Ne Suite 503, Albuquerque, NM 87122

RIA

CRD#: 8733

DURANGO, CO

Past

July 24, 2002 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

ALBUQUERQUE, NM

Past

April 23, 2002 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

ALBUQUERQUE, NM

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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).

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.

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

Alabama
(11/14/2024)

Arizona
(11/14/2024)

Arkansas
(7/19/2025)

California
(11/14/2024)

Colorado
(11/14/2024)

IAR

Colorado
(11/14/2024)

Connecticut
(11/14/2024)

Florida
(11/15/2024)

Georgia
(7/19/2025)

Idaho
(11/14/2024)

Indiana
(4/2/2025)

Kentucky
(7/19/2025)

Louisiana
(7/19/2025)

Maryland
(7/19/2025)

Michigan
(7/17/2025)

Montana
(8/2/2025)

Nevada
(11/14/2024)

New Jersey
(7/17/2025)

New Mexico
(11/14/2024)

IAR

New Mexico
(11/14/2024)

North Carolina
(11/14/2024)

Ohio
(7/21/2025)

Oregon
(1/16/2025)

Tennessee
(7/17/2025)

Texas
(11/14/2024)

IAR

Texas
(11/14/2024)

Utah
(1/16/2025)

Washington
(1/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/22/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/19/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/22/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/2/2010

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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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Firm Stability Insights

John M. Dugas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Mathew Dugas's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Mathew Dugas's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/22/2002

Series 63

Date: 5/3/2002

SIE

Date: 10/1/2018

Series 7

Date: 1/19/2004

Series 6

Date: 4/22/2002

Series 26

Date: 7/2/2010

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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