MD
Michael R. Dugan
PRIVATE CLIENT SERVICES
Raritan, NJ 08869
Some features on this profile are disabled
CRD#: 4822567
MD
Professional summary
Michael Robert Dugan JR, who also goes by Michael Robert Dugan, Mike Robert Dugan, is a registered financial advisor currently at PRIVATE CLIENT SERVICES, LLC located in Raritan, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Robert Dugan | Mike Robert Dugan
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.
LICENSED WITH VARIOUS INSURANCE CARRIERS FOR NON SECURITIES BASED INSURANCE SALES. HUNTERDON UNITED, 1445 RTE 31 SOUTH, ANNANDALE, NJ 08801. NON SECURITIES RELATED. COACH YOUTH BASKETBALL 2 PRACTICES PER WEEK, HEAD COACH. START OF 4/1/2012 THROUGH 10/31. 10 HOURS PER MONTH, 0 HOURS DURING TRADING HOURS. IMMACULATA HIGH SCHOOL, 240 MOUNTAIN AVE, SOMERVILLE, NJ, 08876. NON SECURITIES RELATED. COACH AND OVERSEE GIRLS BASKETBALL PROGRAM. PRACTICE AND GAMES ARE AFTER HOURS. HEAD COACH, START DATE 7/31/2011. 40 HOURS PER MONTH FROM 11/15 - 3/15. ESTIMATED ANNUAL EARNINGS OF $3000. ASSURITY LIFE INSURANCE COMPANY. TERM AND UNIVERSAL LIFE. START DATE 10/1/2012. 3 HOURS PER MONTH, $400 ESTIMATED ANNUAL EARNINGS. ZENITH MARKETING 303 W MAIN ST SUITE 200 FREEHOLD, NJ 07728. NONE SECURITIES RELATED, FIXED INSURANCE SALES THROUGH VARIOUS COMPANIES. START DATE 7/1/2006, 80 HOURS PER MONTH, 80 HOURS DURING TRADING HOURS, ESTIMATED ANN EARNINGS: $25,000.
BENEFIT MALL, BROKER SELLING HEALTH INSURANCE, 354 EISENHOWER PARKWAY, LIVINGSTON, NJ 07039, NON-INVESTMENT RELATED. 80 HRS PER MONTH, 80 HRS DURING TRADING HRS, EST ANNUAL EARNINGS $7,500.
PROFESSIONAL GROUP PLANS, BROKER SELLING HEALTH INSURANCE, 100 WALNUT AVE, SUITE 504, CLARK, NJ 07066. NON-INVESTMENT RELATED.80 HRS PER MONTH, 80 HRS DURING TRADING HRS, EST ANNUAL EARNINGS $20,000.
WALSH BENEFITS, BROKER SELLING HEALTH INSURANCE, 1150 RARITAN RD, SUITE 207, GRANFORD, NJ 07016. NON-INVESTMENT RELATED. 40 HRS PER MONTH, 40 HRS DURING TRADING HRS, EST ANNUAL EARNINGS $3,600.
REMARKABLE FOODS, INC. 42 JACKSON DRIVE, CRANFORD, NJ 07016. REMARKABLE FOODS, INC IS A FOOD TECHNOLOGY COMPANY FOCUSED ON TRANSFORMING THE IN-HOME AND REMOTE DINING EXPERIENCE. WORK WITH NEWLY HIRED EMPLOYEES AND ADVISE THEM ON THEIR OPTIONS FOR INDIVIDUAL HEALTH INSURANCE COVERAGE THROUGH AN ICHRA ARRANGEMENT. 65 HOURS/MO; 65 DURING TRADING HOURS.
JUNIOR PIONEERS LACROSSE. BRANCHBURG, NJ 08876. BRANCHBURG/SOMERVILLE TOWNSHIP YOUTH LACROSSE PROGRAM. TREASURER-HELP OVERSEE FINANCIALS FOR THE CLUB. REGISTRATIONS, REFUNDS, PAYMENTS (VENDORS, FACILITIES, OFFICIALS, ETC) 2 HRS/MO; 0 DURING TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Robert Dugan JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Robert Dugan JR'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
May 3, 2010 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 1124 Route 202 South Unit A6, Raritan, NJ 08869RIA
BD
CRD#: 120222
Raritan, NJ
Current
May 3, 2010 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 1124 Route 202 South Unit A6, Raritan, NJ 08869RIA
BD
CRD#: 120222
Raritan, NJ
Past
February 15, 2008 - May 6, 2010
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
RARITAN, NJ
Past
February 15, 2008 - May 6, 2010
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
RARITAN, NJ
Past
July 24, 2007 - February 25, 2008
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
CRANFORD, NJ
Past
January 9, 2006 - February 25, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
CRANFORD, NJ
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".
PC
PRIVATE CLIENT SERVICES, LLC
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | SILVERLEAF WEALTH ADVISORY | PRIVATE CLIENT SERVICES, LLC | PCS ADVISORS | MCGILL FINANCIAL ENSEMBLE | MARION INVESTMENT ADVISORS | LINDLE HENNESSEY GROUP | KFG PRIVATE CLIENT SERVICES, LLC | KENTUCKY FINANCIAL GROUP | J&G FINANCIAL | IMPACT WEALTH GROUP | IARANN WEALTH | HERITAGE WEALTH GROUP | HAFELE INVESTMENTS | FIORI FINANCIAL | FINANCIAL CONSULTANTS GROUP | EVERGREEN STRATEGIC WEALTH | ENTHEOS FINANCIAL | DUNCAN AND HARDIN FINANCIAL | DUGAN FINANCIAL SERVICES | BURKE FINANCIAL SERVICES | BRIGHTLINE FINANCIAL | BLUE OCEAN GLOBAL WEALTH
CRD#: 120222 / SEC#: 801-71475, 8-68183
RIA
Registered Investment Advisory firm - SEC (5/25/2010 Approved)Delaware
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Florida
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/4/2010 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/5/2018 Approved)Ohio
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (12/9/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.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
Arizona(11/30/2021)
RR
California(9/15/2020)
RR
Delaware(11/30/2021)
RR
Florida(8/26/2019)
RR
Georgia(2/18/2021)
RR
Illinois(11/29/2022)
RR
Maryland(9/15/2020)
RR
New Jersey(5/3/2010)
IAR
New Jersey(5/3/2010)
RR
New York(5/3/2010)
RR
Pennsylvania(2/19/2015)
RR
Texas(3/16/2016)
RR
Virginia(9/24/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PRIVATE CLIENT SERVICES, LLC
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | SILVERLEAF WEALTH ADVISORY | PRIVATE CLIENT SERVICES, LLC | PCS ADVISORS | MCGILL FINANCIAL ENSEMBLE | MARION INVESTMENT ADVISORS | LINDLE HENNESSEY GROUP | KFG PRIVATE CLIENT SERVICES, LLC | KENTUCKY FINANCIAL GROUP | J&G FINANCIAL | IMPACT WEALTH GROUP | IARANN WEALTH | HERITAGE WEALTH GROUP | HAFELE INVESTMENTS | FIORI FINANCIAL | FINANCIAL CONSULTANTS GROUP | EVERGREEN STRATEGIC WEALTH | ENTHEOS FINANCIAL | DUNCAN AND HARDIN FINANCIAL | DUGAN FINANCIAL SERVICES | BURKE FINANCIAL SERVICES | BRIGHTLINE FINANCIAL | BLUE OCEAN GLOBAL WEALTH
CRD#: 120222 / SEC#: 801-71475, 8-68183
RIA
Registered Investment Advisory firm - SEC (5/25/2010 Approved)Delaware
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Florida
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/4/2010 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/5/2018 Approved)Ohio
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (12/9/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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
2225 Lexington Rd., Louisville, KY 40206
Mailing Address
2225 Lexington Rd., Louisville, KY 40206
Phone number
(502) 451-0600
Established
Kentucky since 02/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
60
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KFG ENTERPRISES, INC. | SHAREHOLDER | |
| PRIVATE CLIENT SERVICES EMP STOCK OWNERSHIP PLAN & TRUST | ESOP TRUST | |
| GRAHAM, TIMOTHY DALEY | PRESIDENT | 4461811 |
| IRONSIDE, JULIA MEYER | FINOP | 2441578 |
| MILLS, STEVEN RICHARD | CHIEF OPERATIONS OFFICER | 3133520 |
| SAMPSON, ERNEST AUBREY | MANAGING MEMBER, ESOP TRUSTEE | 2001651 |
| TAYLOR-JONES, JOHN PHILIP | CHIEF COMPLIANCE OFFICER | 2171620 |
| WESCOTT, MARY ELIZABETH | CHIEF ADMINISTRATION OFFICER | 4404797 |
Regulatory assets under management
| Total Number of Accounts | 3,271 |
| AUM (Assets Under Management) | $ 1,051,273,980 |
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.
