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James Dugan

United Capital Financial Advisors

Brentwood, TN

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Current Employers
United Capital Financial Advisors

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2026-04-08
  • TN RA
    APPROVED
    Since 2026-04-08

Branch Locations

5141 Virginia Way Ste 470, Brentwood, TN 37027 • 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
OrganizationCityStateFromTo
Bank Of America Charlotte NC 07/2017 11/2018
Bank Of America Charlotte NC 11/2018 01/2020
Bank Of America New York NY 02/2020 05/2022
Alliancebernstein Nashville TN 06/2022 03/2026
Washington & Lee University Lexington VA 09/2013 05/2017
United Capital Financial Advisors, Llc Irving TX 03/2026 Present
  • 07/2017 → 11/2018
    Bank Of America
    Charlotte, NC
  • 11/2018 → 01/2020
    Bank Of America
    Charlotte, NC
  • 02/2020 → 05/2022
    Bank Of America
    New York, NY
  • 06/2022 → 03/2026
    Alliancebernstein
    Nashville, TN
  • 09/2013 → 05/2017
    Washington & Lee University
    Lexington, VA
  • 03/2026 → Present
    United Capital Financial Advisors, Llc
    Irving, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-21
  • S66 Uniform Combined State Law Examination
    2022-12-21
Other Names
  • Jim Dugan
  • James Dugan Dugan

View on SEC IAPD

Other Firms

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CALDWELL ADVISORS, LLC
TRANQUILITY PARTNERS, LLC
EDWARD JONES
SANCTUARY ADVISORS, LLC
TRUIST ADVISORY SERVICES, INC.
GLOBAL HEALTH AND WELLNESS INVESTMENT NETWORK
RELEVANCE CAPITAL MANAGEMENT, LLC

Other Investors

BARRY KIRK MCCALL
BENJAMIN THOMAS BASS
STERLING AUSTIN COLEY
STEVE TU-RAN ALVERSON
AARON ALAN ZAUNER
David M Dorsett
BENTLEY YEISER LONDON
BILLY RAY CALDWELL

Other Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · BRENTWOOD, TN
CALDWELL ADVISORS, LLC · BRENTWOOD, TN
TRANQUILITY PARTNERS, LLC · BRENTWOOD, TN
EDWARD JONES · BRENTWOOD, TN
SANCTUARY ADVISORS, LLC · Brentwood, TN
TRUIST ADVISORY SERVICES, INC. · BRENTWOOD, TN
SANCTUARY ADVISORS, LLC · BRENTWOOD, TN
GLOBAL HEALTH AND WELLNESS INVESTMENT NETWORK · BRENTWOOD, TN

More in Brentwood, TN

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