Richard Pugh
Richard Pugh is a CFP-designated registered investment advisor at Financial Security Advisory INC, based in Jacksonville, NC, with 33 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Insurance Planning, Investment Management, and 2 more. Their firm serves 3,393 clients with $1.9B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.50% |
| $250K - $1.0M | 1.00% |
| $1.0M - $10.0M | 0.75% |
| $10.0M - $20.0M | 0.65% |
| $20M+ | 0.65% |
Fees are negotiable based on account composition, complexity, and family relationships. Employees and their families may receive reduced or waived fees.
Fee Estimator
Location
824 Gum Branch Rd, Suite I, Jacksonville, NC, 28540
Get directionsHistory
Regulatory History
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 →Other Business ActivitiesSells Insurance
Richard is a professor at The American College, teaching financial planning and insurance courses, dedicating a few hours per week. He also owns Pugh & Associates, Inc., an insurance sales business focused on life, disability insurance, and fixed annuities, taking about half of his time. Additionally, Richard works as an independent contractor for Legal Shield, providing legal and identity theft protection, dedicating minimal time.
Employment History
Current Registrations
Financial Security Advisory INC
Financial Security Management, IncorporatedBroker
Previous Registrations
Davenport-Dukes Financial Services, INC.Broker
Royal Alliance Associates, INC.Broker
State Registrations14 states
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
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