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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-11-14 |
| NM | RA | APPROVED | 2024-11-14 |
| TX | RA | APPROVED_RES | 2024-11-14 |
Branch Locations
1485 Florida Rd. Building C Suite 204, Durango, CO 81301 • United States
8300 Carmel Ne Suite 503, Albuquerque, NM 87122 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc. | Albuquerque | NM | 04/2002 | 11/2024 |
| Prudential Insurance Company Of America | Albuquerque | NM | 04/2002 | Present |
| Lpl Enterprise, Llc | Durango | CO | 11/2024 | Present |
1) 10/30/2024- Blue Horizon Management, LLC- Real Estate Rental- My involvement is a passive one. I am only involved when decisions need to be made around the expansion of BHP's real estate interests, expense/cash flow discussion.- INV Related- At Durango, CO- Start date 03/09/2011- 0 HRS MTH- 0 HRS During Trading 2) 10/30/2024- Blue Horizon Properties, LLC- Real Estate Rental- evelopment of and operation of residential assistant living facilities. My involvement is a passive one. I am only involved when decisions need to be made around the expansion of BHP's real estate interests, expense/cash flow discussion.- INV Related- At Durango, CO- Start date 06/01/2019- 0 HRS MTH- 0 HRS During Trading 3) 10/22/2024- Dugas & Associates Insurance and Financial Services- DBA for LPL Business (entity for LPL business)- Conduct Financial Planning and investment advisory services for new and existing client. Sale of financial services insurance and investment products for Prudential and other sponsored Outbrokerage companies. - Start date 01/01/2020- 130 HRS MTH- 130 HRS During Trading 4) 10/30/2025-Little Moon Properties, LLC-Registered Agent-Business Entity For Tax/Investment Purposes Only-Not inv related-At Durango, CO-Start date 05/22/2025-1hrs/mth-0hrs/mth during trading 5) 10/29/2025-John M. Dugas/Little Moon Properties, LLC-Owner/Landlord-Real Estate Rental-Inv related-At Carlsbad, CA-Start date 12/01/2025-0hrs/mth-0hrs/mth during trading 6) 03/11/2026-The Glacier Club in Durango Colorado-Karate Instructor-Coach/ Sports/ Fitness-Not inv related-At Durango, CO-Start date 03/01/2026-14hrs/mth-0hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 2002-05-03 |
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