Lisa Dugan has been Executive Officer of Secure Planning since May 2006, is not listed as a control person, but directly owns under 5% of the firm.
Secure Planning, LLC is a Portsmouth, NH firm with $187M under management, 529 clients and 3 advisers across 2 offices, as of its May 2026 filing.
Investment adviser representative registrations
Lisa Dugan is registered as an investment adviser representative in 5 states. The first approvals date from November 2007; the most recent is Florida, in December 2016.
- ColoradoSince 21 November 2011
- FloridaSince 9 December 2016
- MaineSince 16 November 2009
- MassachusettsSince 1 December 2009
- New HampshireSince 16 November 2007
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 12 April 1999 |
| Series 7 | General Securities Representative Examination | 22 January 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 September 1998 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 7 January 1998 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Lisa Anne Dugan
- CRD
- 2979629
- Firm
- Secure Planning · CRD 42179
- Role
- Executive Officer
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 1998
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Lisa Dugan work?
Lisa Dugan has been Executive Officer of Secure Planning, LLC since May 2006.
Is Lisa Dugan a financial advisor?
Yes. Lisa Dugan has a current investment-adviser registration in Colorado, Florida, Maine, Massachusetts and New Hampshire, through Secure Planning since November 2007.
How many years of experience does Lisa Dugan have?
Lisa Dugan has 28 years in the financial industry, since January 1998, across 1 adviser firm.
What exams has Lisa Dugan passed?
Lisa Dugan has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 24 and Series 99TO. The earliest, the Series 6, was passed in January 1998. FINRA credited Lisa Dugan with the SIE, which began in October 2018.
Is Lisa Dugan registered with FINRA?
Yes. Lisa Dugan has a current broker registration, under CRD 2979629.
Source: FINRA BrokerCheck
How can I verify Lisa Dugan’s record?
Search CRD 2979629 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Lisa Dugan’s full registration record.