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Timothy C Dugan

DWS Distributors, Inc.

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About Timothy C Dugan

Timothy C Dugan is a financial professional registered with DWS Distributors, Inc. Dugan has been in the industry since February 1, 2009. Dugan is a registered representative with FINRA and has passed the General Securities Representative Examination (Series 7), Securities Industry Essentials Examination (SIE), and the General Securities Principal Examination (Series 24). Dugan's previous employment includes roles with DEUTSCHE BANK SECURITIES INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.

Firm Information

Timothy Dugan is currently registered with DWS Distributors, Inc.. DWS Distributors, Inc. is a corporation formed in September 1994 and is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 5 regulatory events and 1 arbitration case.

Not reported

Assets Under Management

Not reported

Total Clients

51

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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Timothy Dugan’s Registration & Firm History

FL

05/07/2018 - Present

DWS Distributors, Inc. (JACKSONVILLE FL)

FL

11/15/2011 - 05/07/2018

DEUTSCHE BANK SECURITIES INC. (JACKSONVILLE FL)

NY

12/22/2008 - 10/03/2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/28/2021

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/21/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Timothy C Dugan.
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