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JL

James J. Lugo

EQUITABLE DISTRIBUTORS
Charlotte, NC 28262
Some features on this profile are disabled
CRD#: 5123037
JL

Professional summary

James Jeffrey Lugo, AIF® is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.

James is registered as a RR (Registered Representative) and started their career in finance in 2006. James has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
Oikos Properties Group, Inc., non-investment related, 5776 Beryl St., Alta Loma, CA 91737, real estate and rental properties, 100% owner, started on 4/6/16, 4 hours devoted a month, zero hours during trading hours, duties include collecting rent and maintenance of properties.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Jeffrey Lugo'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

April 5, 2024 - Present

EQUITABLE DISTRIBUTORS, LLC

Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262
BD
CRD#: 25900
Charlotte, NC
Past

January 31, 2023 - March 12, 2024

IMA WEALTH

RIA
CRD#: 112091
Pasadena, CA
Past

January 30, 2023 - December 15, 2023

IMA WEALTH

BD
CRD#: 112091
Pasadena, CA
Past

July 21, 2014 - December 7, 2022

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA
CRD#: 142373
COLUMBUS, OH
Past

May 8, 2014 - December 7, 2022

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

May 11, 2010 - April 4, 2014

AUGUSTAR DISTRIBUTORS, INC.

BD
CRD#: 41081
CINCINNATI, OH
Past

November 19, 2007 - May 13, 2010

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
LOS ANGELES, CA
Past

June 27, 2006 - March 20, 2007

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
IRVINE, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(4/5/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/2/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/14/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/26/2006
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ED
EQUITABLE DISTRIBUTORS, LLC
AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC

CRD#: 25900 / SEC#: , 8-42123

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

Main Address
8501 Ibm Drive, Suite 150, Charlotte, NC 28262
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105
Phone number
(212) 314-2137
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EQ HOLDINGS, LLCOWNER
D'AUGUSTE, ARIELLE RACHELGENERAL COUNSEL7252573
DURSO, ALFRED JOSEPHCHIEF COMPLIANCE OFFICER2546771
KAIS, JAMES MICHAELDIRECTOR2529327
LANE, NICHOLAS BURRITTCHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER4994948
SCANLON, STEPHEN CAULEYDIRECTOR2219308
SCAPPATOR, CANDACE LYNNFINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4697607

Disclosures

Arbitration1

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.

Company Information

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900Charlotte, NC 28262

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