Joan T. Duncan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joan Tegtmeier Duncan was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1984. Joan had worked at 2 firms and has passed the Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 1987 - June 18, 2007
E. S. HOPE FINANCIAL
December 21, 1984 - August 6, 1987
BLISS SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
E. S. HOPE FINANCIAL
CRD#: 19885 / SEC#: , 8-37885
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOKACH, VICTOR JOHN | PRESIDENT, CHIEF COMPLIANCE OFFICER | 2243770 |
| STRAUB, SUSAN | SHAREHOLDER < 10% W/ STANDSTILL AGMT |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
