David Kevin Dugan

Current Employers

Employment History

• 11/2013 → 10/2016
  Investors Capital Corp.
  Lynnfield, MA
• 10/2016 → Present
  Cetera Advisors Llc
  Denver, CO
• 01/2013 → Present
  Stone Coast Advisors, Llc
  Marblehead, MA
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2014-01-24 → 2016-10-03
  Investors Capital Corp.
  Beverly, MA
  Lynnfield, MA
  Lynnfield, MA
  Marblehead, MA
• 2010-10-29 → 2013-11-26
  Winslow, Evans & Crocker, Inc.
  Peabody, MA
  Boston, MA
• 2008-01-01 → 2010-11-01
  Wells Fargo Clearing Services, Llc
  Beverly, MA
  Peabody, MA
• 2004-02-26 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Chelmsford, MA
  Chelmsford, MA
  St. Louis, MO
  Peabody, MA

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 2013; APX NUMBER OF HOURS PER WEEK: 0 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: N/A; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, ANNUITIES, AND LONG-TERM CARE. 2. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO ADDRESS: 172 LARKSPUR LANE UNIT #4, EAGLE VAIL, CO 81620; NATURE OF BUSINESS: REAL ESTATE; START DATE: 6/29/2016; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: N/A; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE RENTAL. 3. NAME OF OTHER BUSINESS: DBA STONE COAST ADVISORS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 2013; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 45 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-07-23
• S63 Uniform Securities Agent State Law Examination
  1982-02-10

Designations