Nicholas J. Duggan

TOWN LAKE CAPITAL MANAGEMENT

Lakeway, TX 78738

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CRD#: 7489542

Professional summary

Nicholas James Duggan, who also goes by Nick J Duggan, is a registered financial advisor currently at TOWN LAKE CAPITAL MANAGEMENT located in Lakeway, Texas.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Nicholas has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick J Duggan

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) - RIA

Click below to view Nicholas James Duggan'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

May 9, 2022 - Present

TOWN LAKE CAPITAL MANAGEMENT

Office #1: 3503 Wild Cherry Drive Building 1, Lakeway, TX 78738

RIA

CRD#: 173919

Lakeway, TX

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.

Highlighted states indicate IAR registrations

IAR

Louisiana
(5/9/2022)

IAR

Texas
(5/9/2022)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/7/2022

Uniform Investment Adviser Law Examination

Current Firm

TOWN LAKE CAPITAL MANAGEMENT

RIPLEY CAPITAL MANAGEMENT LLC | TOWN LAKE CAPITAL MANAGEMENT | RIPLEY CAPITAL MANAGEMENT, LLC

CRD#: 173919 / SEC#:

Louisiana

Registered Investment Advisory firm - (1/12/2015 Approved)

Nebraska

Registered Investment Advisory firm - (6/19/2017 Terminated)

Texas

Registered Investment Advisory firm - (12/10/2014 Approved)

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).

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Contact information

Main Address

3503 Wild Cherry Drive Building 1, Lakeway, TX 78738

Mailing Address

Phone number

(512) 772-2718

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 44,184,779

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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Nicholas J. Duggan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas James Duggan's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOWN LAKE CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/2022

Current Firm

TOWN LAKE CAPITAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TOWN LAKE CAPITAL MANAGEMENT

TRUST BUT VERIFY

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