Connor J. Dugan

INVESTMENT DISTRIBUTORS

Covington, KY 41011

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CRD#: 6103754

Professional summary

Connor Joseph Dugan is a registered financial professional currently at INVESTMENT DISTRIBUTORS, INC. located in Covington, Kentucky.

Connor is registered as a RR (Registered Representative) and started their career in finance in 2013. Connor has worked at 6 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Connor Joseph Dugan'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®

None

Experience

Current

January 3, 2022 - Present

INVESTMENT DISTRIBUTORS, INC.

Office #1: 50 E Rivercenter Blvd Suite 1600, Covington, KY 41011

CRD#: 35490

Covington, KY

Past

November 1, 2021 - January 3, 2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

September 10, 2018 - October 5, 2021

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

January 3, 2017 - August 14, 2018

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

April 24, 2015 - December 26, 2016

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

FREEHOLD, NJ

Past

January 25, 2013 - November 25, 2013

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

RARITAN, NJ

State Registrations and Notice Filings

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

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

Louisiana
(1/3/2022)

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/24/2013

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

INVESTMENT DISTRIBUTORS, INC.

CRD#: 35490 / SEC#: , 8-46802

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

2801 Highway 280 South, Birmingham, AL 35223

Mailing Address

2801 Highway 280 South, Birmingham, AL 35223

Phone number

(205) 868-3073

Established

Tennessee since 08/30/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PROTECTIVE LIFE CORPORATION	PARENT COMPANY
CARLSON, MARTHA L	DESIGNATED RESPONSIBLE LICENSED PRODUCER	2731502
COFFMAN, BENJAMIN PAUL	CHIEF FINANCIAL OFFICER	6738662
COLLAZO, KIMBERLY	ASSISTANT SECRETARY	8075061
CREUTZMANN, SCOTT EMIL	DIRECTOR	5351383
LANE, JAMIE LAURA	DIRECTOR	5779720
LEE, FELICIA MALLOCH	SECRETARY	7498538
MCCRELESS, KEVIN LUCIUS	CHIEF COMPLIANCE OFFICER	5180100
MORSCH, LETITIA A	DIRECTOR & ASSISTANT SECRETARY	5133531
TENNENT, RAYBURN EDWARD	SR ANALYST FINANCIAL REPORTING	6245099
WAGNER, JAMES CARL JR	PRESIDENT & DIRECTOR	4261922

Disclosures

Regulatory Event

Red Flags

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Connor J. Dugan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Connor Joseph Dugan's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT DISTRIBUTORS, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

TRANSAMERICA CAPITAL, LLC

THE LEADERS GROUP, INC.

VOYA FINANCIAL ADVISORS, INC.

PRIVATE CLIENT SERVICES, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 6

Date: 1/24/2013

FINRA

Current Firm

INVESTMENT DISTRIBUTORS, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVESTMENT DISTRIBUTORS, INC.

TRUST BUT VERIFY

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