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CFP

David Dugan

Cetera Investment Advisers LLC
42 Years of Experience
Marblehead, MA
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

David Dugan is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Marblehead, MA, with 42 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

10 Atlantic Ave, Suite #28, Marblehead, MA, 01945

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2013
Denied
Customer Dispute
February 2013
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

David is an insurance agent selling life, health, annuities, and long-term care insurance, but spends minimal time on it. He also owns rental real estate and works as a financial advisor for Stone Coast Advisors, LLC, dedicating about full-time hours to this.

Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2024 - Present · 2 yrs 7 mos
Cetera Advisors LLCBroker
October 2016 - Present · 10 yrs
Previous Registrations
Cetera Advisors LLC
October 2016 - March 2024 · 7 yrs 5 mos
Investors Capital Advisory
January 2014 - October 2016 · 2 yrs 9 mos
Investors Capital CORP.Broker
November 2013 - October 2016 · 2 yrs 11 mos
Winslow, Evans & Crocker, INC.
October 2010 - November 2013 · 3 yrs 1 mo
Winslow, Evans & Crocker, INC.Broker
October 2010 - November 2013 · 3 yrs 1 mo
Wells Fargo Advisors, LLC
January 2008 - November 2010 · 2 yrs 10 mos
Wells Fargo Advisors, LLCBroker
January 2008 - November 2010 · 2 yrs 10 mos
A. G. Edwards & Sons, INC.
February 2004 - January 2008 · 3 yrs 11 mos
A. G. Edwards & Sons, INC.Broker
February 2003 - January 2008 · 4 yrs 11 mos
Janney Montgomery Scott LLCBroker
September 1997 - February 2001 · 3 yrs 5 mos
A. G. Edwards & Sons, INC.Broker
July 1989 - August 1997 · 8 yrs 1 mo
Dean Witter Reynolds INC.Broker
December 1986 - July 1989 · 2 yrs 7 mos
First Jersey Securities, INC.Broker
January 1982 - December 1986 · 4 yrs 11 mos
State Registrations6 states
FLMANHPASCWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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