Michael Dugan

The Alaric Team

• Guy F. Talarico
• Edward J. Cook
• Stephen L. de Vore
• Joseph M. DiBartolo
• Michael Dugan
• Bob Frize
• Kathy L. Glass
• Kathleen M. Hendriks
• Mildred Hernandez
• Abigail Hooper
• Michael A. Huber
• Christopher Lewis
• William S. McNish
• Michael Niedzwiedz
• Claudia Ranieri
• Carl M. Rizzo
• Lisa P. Sullivan
• Melissa Talarico

Michael Dugan, Consultant

Michael Dugan
Consultant

Office: New York
Phone: (201) 370-8495
Fax: (212) 608-1606
Email: mdugan@alariccompliance.com

Michael Dugan is an independent consultant with over 30 years of experience as a senior executive in the financial services industry. Mr. Dugan has joined the Alaric Compliance Services Consultant Network as an independent consultant providing FINOP and CFO Services to broker-dealers.

Prior to starting his own consulting practice in 2011, Mr. Dugan served as Chief Administrative Officer for FX Solutions LLC, an NFA-regulated Forex Dealer Member specializing in retail over-the-counter foreign exchange and derivative products.

Mr. Dugan spent 21 years at Prudential Equity Group LLC, New York (the former Prudential Securities Inc.) as both the Chief Financial Officer and Chief Administrative Officer where he was responsible for the financial and administrative functions for numerous Prudential business units including Investment Banking, Debt and Equity Capital Markets, Sales and Trading and Equity Research. During the last four years of his time at Prudential, Mr. Dugan was also the FINOP for its NYSE-member broker-dealer.

Prior to joining Prudential, Mr. Dugan worked at First Rock Financial Corporation, New York where he held the position of Controller and at Merrill Lynch & Company, New York. He received a Bachelor of Science from Lehigh University, with a dual major, Accounting and Finance. Mr. Dugan is a Certified Public Accountant in New Jersey (AICPA, NJSCPA) and a Chartered Financial Analyst (CFA Institute, NYSSA). He has held Series 3, 7, 27, 34, 41, 63 licenses.