WP
WP
Willard Pugh is a registered investment advisor, based in Boca Raton, FL, with 37 years of industry experience.
Location
2424 North Federal Hwy #400, Boca Raton, FL, 33431
Get directionsHistory
Regulatory History (1)
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
December 2021Settled
Other Business ActivitiesSells Insurance
Willard is an investment advisor representative (IAR) with Kestra Advisory Services and a wealth management advisor with Wealth Empowerment Financial. Both roles involve investment-related activities and take up nearly all of Willard's time.
Employment History
Current Registrations
Kestra Investment Services, LLCBroker
October 2024 - Present · 1 yr 7 mos
Kestra Advisory Services, LLC
October 2024 - Present · 1 yr 7 mos
Previous Registrations
B. Riley Wealth ManagementBroker
July 2022 - October 2024 · 2 yrs 3 mos
B. Riley Wealth Advisors, INC.
June 2016 - October 2024 · 8 yrs 4 mos
National Securities CorporationBroker
May 2016 - July 2022 · 6 yrs 2 mos
Dawson James Asset Management, INC.
October 2007 - June 2016 · 8 yrs 8 mos
Dawson James Securities, INC.Broker
October 2007 - June 2016 · 8 yrs 8 mos
Cambridge Investment Research, INC.Broker
June 2007 - October 2007 · 4 mos
Asset Planning Corporation
April 2003 - February 2008 · 4 yrs 10 mos
Mutual Service Corporation
March 2003 - April 2003 · 1 mo
Mutual Service CorporationBroker
December 1998 - June 2007 · 8 yrs 6 mos
Signator Investors, INC.Broker
November 1988 - January 1999 · 10 yrs 2 mos
John Hancock Mutual Life Insurance CompanyBroker
November 1988 - May 1997 · 8 yrs 6 mos
American Express Financial Advisors INC.Broker
June 1988 - August 1988 · 2 mos
Ids Life Insurance CompanyBroker
June 1988 - August 1988 · 2 mos
Investock & CO., INC.Broker
February 1988 - March 1988 · 1 mo
First Florida Securities Group, INC.Broker
November 1987 - February 1988 · 3 mos
State Registrations23 states
AZCAFLGAINKSMAMDMNMONCNJNYORPAPRRISCTNTXVAVTWI
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.