Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Joseph Dugan is a securities professional with over 30 years of experience in the industry. James is currently registered with Mufg Securities Americas Inc. and has held previous positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., Salomon Brothers Inc., and Bear, Stearns & Co. Inc. James has a broad range of experience in the securities industry, including equity trading.
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.
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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NY
05/12/2016 - Present
Mufg Securities Americas Inc. (NEW YORK NY)
NY
07/02/2009 - 03/30/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/21/1994 - 07/22/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/28/1997 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
NY
10/22/1986 - 11/01/1994
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 10/05/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/2014
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
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FINRA
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