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Frank Robert Dugan

Barclays Capital Inc.

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About Frank Robert Dugan

Frank Robert Dugan has been in the securities industry since May 24, 1988. Frank is currently registered with Barclays Capital Inc. Frank is a general securities principal and has held various positions at different firms over his career including Lehman Brothers Inc., Lehman Government Securities Inc. and Lehman Special Securities Inc. Frank is licensed in every state in the United States.

Firm Information

Frank Dugan is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Frank Dugan’s Registration & Firm History

NY

09/22/2008 - Present

Barclays Capital Inc. (NEW YORK NY)

CA

05/25/1988 - 09/22/2008

LEHMAN BROTHERS INC. (SAN FRANCISCO CA)

NA

07/15/1989 - 10/23/1995

LEHMAN GOVERNMENT SECURITIES INC.

NA

07/15/1989 - 07/18/1994

LEHMAN SPECIAL SECURITIES INC.

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Licenses & Designations

BC

Issued 09/06/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/16/2011

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/28/1992

Series 3 - National Commodity Futures Examination

BC

Issued 05/21/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Frank Robert Dugan.
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