Inactive

Michael Joseph Dugan

Wealthspire Retirement Advisory

Aliso Viejo, CA

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Current Employers

Wealthspire Retirement Advisory

120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2024-04-08
VA	RA	APPROVED	2024-04-08

MD RA
APPROVED

Since 2024-04-08
VA RA
APPROVED

Since 2024-04-08

Branch Locations

6903 Rockledge Dr 14Th Floor, Bethesda, MD 20817 • United States

120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Suntrust Bank	Washington	DC	11/2011	01/2023
Kestra Advisory Services, Llc	Bethesda	MD	12/2016	03/2024
Kestra Investment Services, Llc	Bethesda	MD	02/2013	03/2024
Nfp Retirement, Inc.	Aliso Viejo	CA	04/2024	10/2025
Wealthspire Retirement Advisory	Aliso Viejo	CA	10/2025	Present

11/2011 → 01/2023

Suntrust Bank

Washington, DC
12/2016 → 03/2024

Kestra Advisory Services, Llc

Bethesda, MD
02/2013 → 03/2024

Kestra Investment Services, Llc

Bethesda, MD
04/2024 → 10/2025

Nfp Retirement, Inc.

Aliso Viejo, CA
10/2025 → Present

Wealthspire Retirement Advisory

Aliso Viejo, CA

Previous Registrations

2016-12-01 → 2024-03-28

Kestra Advisory Services, Llc

Bethesda, MD

Austin, TX
2006-02-28 → 2007-02-05

Strategic Advisers Llc

Marlborough, MA
2005-09-23 → 2005-11-10

Charles Schwab & Co., Inc.

Washington, DC
1999-01-01 → 2005-09-29

T. Rowe Price Advisory Services, Inc.

Owings Mills, MD
2003-03-11 → 2003-10-06

Valic Financial Advisors, Inc.

Glen Burnie, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-11-23
S63	Uniform Securities Agent State Law Examination	1997-09-24

S65 Uniform Investment Adviser Law Examination

2016-11-23
S63 Uniform Securities Agent State Law Examination

1997-09-24

Other Names

Michael Joseph Dugan

View on SEC IAPD

Other Firms

BLUE SPARROW FUNDS GP LLC

KALAMATA ASSET MANAGEMENT LLC

GLASSY MOUNTAIN ADVISORS, INC.

NOORDZEE CAPITAL LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

HIGHTOWER ADVISORS, LLC

GOLDEN WEALTH STRATEGIES

Other Investors

Brian Craig Luts

DAVID MICHAEL GREENLEIGH

JAMIE LYNN BIGSBY

Brian Hawthorne-Codato

William K McCaffrey

ALEXANDER SIDNEY JOHANNES LEVY

FREDERICK THOMAS TURNER

Other Offices

LGG FINANCIAL · BETHESDA, MD

BLUE SPARROW FUNDS GP LLC · BETHESDA, MD

KALAMATA ASSET MANAGEMENT LLC · BETHESDA, MD

GLASSY MOUNTAIN ADVISORS, INC. · BETHESDA, MD

NOORDZEE CAPITAL LLC · BETHESDA, MD

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · BETHESDA, MD

HIGHTOWER ADVISORS, LLC · BETHESDA, MD

GOLDEN WEALTH STRATEGIES · Bethesda, MD

More in Bethesda, MD

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