Robert Dugan

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

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

Current Employers

Employment History

• 05/2011 → 11/2021
  The Vanguard Group, Inc.
  Scottsdale, AZ
• 11/2021 → 03/2022
  Schwab Private Client Invest Advisory
  Phoenix, AZ
• 11/2021 → 03/2022
  Charles Schwab & Co., Inc.
  Phoenix, AZ
• 12/2022 → 05/2024
  Wells Fargo Clearing Services, Llc
  Chandler, AZ
• 12/2022 → 05/2024
  Wells Fargo Bank, Na
  Chandler, AZ
• 03/2022 → 12/2022
  Unemployed
  Gilbert, AZ
• 08/2024 → Present
  Wells Fargo Clearing Services, Llc
  Scottsdale, AZ

Previous Registrations

• 2022-12-15 → 2024-06-12
  Wells Fargo Clearing Services, Llc
  St. Louis, MO
  Chandler, AZ
• 2021-12-17 → 2022-04-18
  Schwab Wealth Advisory, Inc.
  Phoenix, AZ
• 2019-10-01 → 2021-12-03
  Vanguard Advisers, Inc.
  Scottsdale, AZ

Other Businesses

SUMMERFIELD PLACE HOA, NOT INVT RELATED, GILBERT, AZ, HEAD OF ARCHITECTURAL COMMITTEE, START DATE 9/1/2022, 1 HR PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS ON HOA ISSUES AND NOTIFY AND FINE RESIDENCE OF HOA VIOLATIONS.

Exams

• S66 Uniform Combined State Law Examination
  2022-12-30
• S63 Uniform Securities Agent State Law Examination
  2011-06-09

Designations

• Certified Financial Planner

Other Names

• Robert Dugan
• Robert Thomas Dugan