David William Dugan

Current Employers

Financial Perspectives

3300 Fernbrook Ln N Suite 250, Minneapolis, MN 55447-5341 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2013-12-09

MN RA
APPROVED

Since 2013-12-09

Branch Locations

Sioux Falls, SD • United States

3300 Fernbrook Ln N Suite 250, Minneapolis, MN 55447-5341 • 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
Financial Perspectives, Inc	Plymouth	MN	04/2005	Present
Purshe Kaplan Sterling Investments	Albany	NY	08/2013	Present

04/2005 → Present

Financial Perspectives, Inc

Plymouth, MN
08/2013 → Present

Purshe Kaplan Sterling Investments

Albany, NY

Other Businesses

1) FINANCIAL PERSPECTIVES, INC., 3300 FERNBROOK LANE, N, SUITE 250, MINNEAPOLIS, MN 55447. RIA, INVESTMENT RELATED. 06/2003. 2) FP TAX & ACCOUNTING, LLC DBA DUGAN & COMPANY, 3300 FERNBROOK LANE N, SUITE 250, MINNEAPOLIS, MN 55447. TAX PREPARER, 33% OWNER. NOT INVESTMENT RELATED. 07/2005 NOT INVESTMENT RELATED. 3) INSURANCE LICENSE, LIFE, HEALTH, VARIABLE INSURANCE PRODUCTS, 3300 FERNBROOK LANE N, SUITE 250, MINNEAPOLIS, MN 55447. INVESTMENT RELATED. 07/2003.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-06-04

S66 Uniform Combined State Law Examination

2003-06-04

Designations

View on SEC IAPD