Jenny A. Duncan
Professional summary
Jenny Alice Duncan, AIF®, who also goes by Jen Duncan, Jenny A Duncan, Jenny Alyce Duncan, Alice Lamond, Jenny D Lamond, Jenny Duncan Lamond, Jenny D Lasmond, Jenny Alice Williams, Jenny D Williams, Jenny Duncan Williams, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Charlotte, North Carolina and VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.
Jenny is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Jenny has worked at 27 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7, Series 6, Series 24, Series 27, Series 4, Series 23, Series 9, Series 10, Series 53 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jenny Alice Duncan's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 17, 2023 - Present
VANGUARD ADVISERS, INC.
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262November 17, 2023 - Present
VANGUARD MARKETING CORPORATION
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262July 15, 2020 - October 27, 2023
CHARLES SCHWAB & CO., INC.
July 15, 2020 - October 27, 2023
CHARLES SCHWAB & CO., INC.
November 13, 2018 - May 4, 2020
CHOREO, LLC
December 22, 2016 - October 23, 2018
ALLSPRING FUNDS MANAGEMENT, LLC
February 19, 2015 - October 23, 2018
ALLSPRING FUNDS DISTRIBUTOR, LLC
September 12, 2012 - January 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
July 13, 2012 - January 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 9, 2012 - July 2, 2012
ASSET & FINANCIAL PLANNING, LTD
April 25, 2012 - July 2, 2012
PRIME CAPITAL SERVICES, INC.
November 3, 2011 - December 31, 2011
WEISS CAPITAL SECURITIES, INC.
March 1, 2011 - November 4, 2011
BANYAN PARTNERS, LLC
November 22, 2010 - March 15, 2011
WEISS CAPITAL MANAGEMENT, INC.
September 29, 2010 - January 19, 2011
WEISS CAPITAL SECURITIES, INC.
July 13, 2010 - September 16, 2010
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
July 12, 2010 - September 16, 2010
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
December 11, 2008 - December 9, 2009
BONDS.COM WEALTH MANAGEMENT, LLC
October 27, 2008 - March 26, 2010
BONDS.COM LLC
December 6, 2007 - October 23, 2008
1ST DISCOUNT BROKERAGE, INC.
November 30, 2007 - October 23, 2008
1ST DISCOUNT BROKERAGE, INC.
June 26, 2006 - November 16, 2007
DAVENPORT & COMPANY LLC
June 26, 2006 - November 16, 2007
DAVENPORT & COMPANY LLC
April 4, 2005 - June 19, 2006
ANDERSON & STRUDWICK, INCORPORATED
March 31, 2005 - April 4, 2005
A&S CAPITAL ADVISORS, INC.
March 1, 2004 - June 19, 2006
ANDERSON & STRUDWICK, INCORPORATED
November 12, 2002 - March 3, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 7, 2000 - November 21, 2002
WELLS FARGO CLEARING SERVICES, LLC
February 12, 1998 - June 27, 2000
T. ROWE PRICE INVESTMENT SERVICES, INC.
November 10, 1988 - July 29, 1991
FIRST UNION CAPITAL MARKETS CORP.
July 12, 1988 - November 15, 1988
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 29, 1987 - May 20, 1988
CARNES CAPITAL CORPORATION
February 2, 1987 - May 12, 1987
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 16, 1986 - January 1, 1987
J.P. MORGAN SECURITIES LLC
August 20, 1985 - July 23, 1986
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/17/2023)
(11/27/2023)
(11/17/2023)
Exams
Series 55
Date: 7/2/2007
Limited Representative-Equity Trader ExamSeries 8
Date: 12/13/1990
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
