Daniel James Dugan
Investment Adviser Representative at Financial Perspectives
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Daniel James Dugan is an investment adviser representative with Financial Perspectives in Minneapolis, MN, where they have been registered since 2011. They have worked in the securities industry since 1994 and have been registered with 3 firms, including Cambridge Investment Research, Inc. and Askar Corp. They have passed 6 industry qualification exams, including the Series 65 (investment adviser), Series 66 (combined investment adviser and state securities agent), and Series 7 (general securities representative). They are registered to provide investment advice in Minnesota and Texas.
Office
Advisors at this office: 14
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Minnesota, Texas
- Broker:
18 states and territories
Arizona, California, Colorado, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, Minnesota, Missouri, New Jersey, New Mexico, North Dakota, South Dakota, Washington, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Financial Perspectives, Inc.Apr 2005 – no end date reportedPlymouth, MN
- Purshe Kaplan Sterling InvestmentsAug 2013 – no end date reportedAlbany, NY
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Financial Perspectives
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
FP offers services spanning investments, insurance, taxes, retirement planning, estate planning, and philanthropy, with a focus on accumulating, preserving, and passing on wealth through holistic financial planning and investment advisory services.
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 14
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Minneapolis, MN
- Founded:
- 1985
- SEC file number:
- 801-97343
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 25, 2026
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Showing 12 of 14 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Daniel James Dugan has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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