Barbara Ellen Dugan

Employer firm

Farther CRD 302050

$16.0B regulatory AUM 450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 01/2000 → Present
  Barbara Dugan Yoga And Wellness
  Playa Vista, CA
• 04/2014 → 08/2017
  J.P. Morgan Securities Llc
  Los Angeles, CA
• 08/2017 → 12/2019
  Alpha Cubed Investments
  Irvine, CA
• 01/2020 → 02/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Mill Valley, CA
• 02/2024 → Present
  Farther Finance Advisors
  Tiburon, CA

Previous Registrations

• 2020-01-06 → 2024-02-12
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Mill Valley, CA
• 2017-08-21 → 2019-12-04
  Alpha Cubed Investments, Llc
  Costa Mesa, CA
  Mountain View, CA
  Costa Mesa, CA
• 2014-05-15 → 2017-08-30
  J.P. Morgan Securities Llc
  Los Angeles, CA
  Los Angeles, CA
  Santa Monica, CA
• 2012-03-01 → 2014-05-01
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Encino, CA

Other Businesses

BARBARA DUGAN YOGA AND WELLNESS: OCCASIONAL YOGA INSTRUCTION POSITION-YOGA INSTRUCTOR START DATE- 01/2000 APPROXIMATE HOURS WORKED PER MONTH-3HRS, APPROXIMATE HOURS DEVOTED DURING "SECURITIES TRADING HOURS" PER MONTH-0HRS DESCRIPTION OF DUTIES-PRIVATE AND SMALL GROUP YOGA INSTRUCTION,TEACHING AND CONSULTING

Exams

• S63 Uniform Securities Agent State Law Examination
  2020-01-24
• S66 Uniform Combined State Law Examination
  2012-02-17

Other Names

• Barbara E. Dugan
• Barbara Ellen Dugan
• Barbara E Dugan
• Barbara Dugan