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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Holmes Dugan is a financial advisor with over 30 years of experience in the financial services industry. James is currently registered with Wealthpenn.comllc and has previously worked at UBS Financial Services Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, Salomon Smith Barney Inc., and Lehman Brothers Inc. James is a Series 3, 7, 9, 10, 63, and 65 licensed advisor. James has been in the industry since September 9, 1992.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
03/03/2020 - Present
Wealthpenn.comllc (Folsom CA)
CA
08/22/2003 - 03/25/2010
UBS FINANCIAL SERVICES INC. (ROSEVILLE CA)
MO
07/01/2003 - 08/27/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
10/30/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 11/05/1998
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
09/10/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 10/7/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/17/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 5/17/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 5/8/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/1/2001
Series 3 - National Commodity Futures Examination
BC
Issued 9/9/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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