James Thomas Dugan

Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

• Financial planning
• Selection of other advisers
• WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2008 → 06/2024
  Td Ameritrade
  Chestnut Hill, MA
• 12/2021 → Present
  Charles Schwab & Co., Inc.
  Chestnut Hill, MA
• 12/2021 → Present
  Charles Schwab Bank, Ssb
  Chestnut Hill, MA

Previous Registrations

• 2009-01-08 → 2023-09-07
  Td Ameritrade Investment Management, Llc
  Boston, MA
  Burlington, MA
  Quincy, MA
  Burlington, MA
  Quincy, MA
  Boston, MA
• 2009-01-08 → 2022-10-14
  Td Ameritrade, Inc.
  Boston, MA
  Burlington, MA
  Boston, MA
  Burlington, MA
  Boston, MA
  Chestnut Hill, MA
• 2003-10-13 → 2008-11-04
  Ameriprise Financial Services, Llc
  Plantation, FL
  Ft Lauderdale, FL
  Boston, MA

Other Businesses

BROADS AVENUE RENTAL POSITION: OWNER NATURE: RENTAL INCOME INVESTMENT RELATED: YES NUMBER OF HOURS: 4 INVESTMENT RELATED HOURS: 0 START DATE: 01/14/2013 ADDRESS: 3 BROADS AVENUE, NATICK MA 01760 DESCRIPTION: I AM RENTING OUT OUR 2ND HOME.

Exams

• S66 Uniform Combined State Law Examination
  2003-10-08

Designations

• Certified Financial Planner
• Chartered Financial Consultant