James Dugan is a registered investment advisor at Morgan Stanley, based in Folsom, CA, with 33 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
2365 Iron Point Road, Suite 235, Folsom, CA, 95630
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
March 2010 - Present · 16 yrs 2 mos
Morgan StanleyBroker
March 2010 - Present · 16 yrs 2 mos
Previous Registrations
UBS Financial Services INC.Broker
August 2003 - March 2010 · 6 yrs 7 mos
UBS Financial Services INC.
August 2003 - March 2010 · 6 yrs 7 mos
Wachovia Securities, LLC
July 2003 - August 2003 · 1 mo
Wachovia Securities, LLCBroker
July 2003 - August 2003 · 1 mo
Prudential Securities Incorporated
March 1999 - July 2003 · 4 yrs 4 mos
Prudential Securities IncorporatedBroker
October 1998 - July 2003 · 4 yrs 9 mos
Salomon Smith Barney INC.Broker
July 1993 - November 1998 · 5 yrs 4 mos
Lehman Brothers INC.Broker
September 1992 - July 1993 · 10 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.