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Daniel Pugh

Raymond James & Associates, INC.
30 Years of Experience
Franklin, TN
1 DisclosureBroker
View SEC Summary
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Daniel Pugh is a registered investment advisor at Raymond James & Associates, INC., based in Franklin, TN, with 30 years of industry experience. Daniel is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

517 Church Street, Franklin, TN, 37064

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History

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
November 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Daniel is involved in rental real estate. He spends minimal time on rental property at 209 Eiderdown Dr since 2021, and a few hours per week as a partner in Wellspring Properties LLC since 2016, managing rental real estate.

Employment History
Current Registrations
Raymond James & Associates, INC.Broker
February 2013 - Present · 13 yrs 8 mos
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 8 mos
Previous Registrations
Morgan Keegan & Company, INC.Broker
February 2007 - February 2013 · 6 yrs
Morgan Keegan & Company, INC.
February 2007 - February 2013 · 6 yrs
Amsouth Investment Management Company LLC
July 2003 - February 2007 · 3 yrs 7 mos
Amsouth Investment Services, INC.
February 2003 - September 2003 · 7 mos
Invest Financial CorporationBroker
November 1999 - February 2000 · 3 mos
Amsouth Investment Services, INC.Broker
February 1998 - February 2007 · 9 yrs
Edward D. Jones & CO., L.P.Broker
February 1996 - February 1998 · 2 yrs
State Registrations31 states
ALARAZCACODEFLGAHIINKSKYLAMDMIMOMSMTNCNMNVNYOHOKPASCTNTXVAVTWV
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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