Barbara E. Dugan
Professional summary
Barbara Ellen Dugan, who also goes by Barbara E Dugan, Barbara E. Dugan, Barbara Dugan, is a registered financial advisor currently at FARTHER located in Tiburon, California.
Barbara is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Barbara has worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Barbara Ellen Dugan's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2024 - Present
FARTHER
January 28, 2020 - February 12, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2020 - February 12, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 2017 - December 4, 2019
ALPHA CUBED INVESTMENTS, LLC
May 15, 2014 - August 30, 2017
J.P. MORGAN SECURITIES LLC
May 15, 2014 - August 30, 2017
J.P. MORGAN SECURITIES LLC
March 1, 2012 - May 1, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 2012 - May 1, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 2008 - September 30, 2010
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
FARTHER
CRD#: 302050 / SEC#: 801-116721
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/6/2024)
Exams
Current Firm
FARTHER
CRD#: 302050 / SEC#: 801-116721
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24,245 |
| AUM (Assets Under Management) | $ 7,523,810,877 |
Red Flags
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