Kerry L. Duran
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.
Kerry Lyn Burke Duran, who also goes by Kerry Lyn Beeler, Kerry Lyn Burke, Kerry Lyn Duran, was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 2000. Kerry had worked at 6 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2019 - February 3, 2021
UBS FINANCIAL SERVICES INC.
July 23, 2019 - February 3, 2021
UBS FINANCIAL SERVICES INC.
April 13, 2017 - July 12, 2019
LPL FINANCIAL LLC
April 11, 2017 - July 12, 2019
LPL FINANCIAL LLC
December 8, 2016 - January 13, 2017
SSN ADVISORY, INC.
December 5, 2016 - January 13, 2017
SECURITIES SERVICE NETWORK, LLC
April 30, 2013 - September 19, 2016
LPL FINANCIAL LLC
April 26, 2013 - September 19, 2016
LPL FINANCIAL LLC
December 8, 2008 - February 9, 2009
EDWARD JONES
June 11, 2008 - February 9, 2009
EDWARD JONES
July 18, 2000 - April 9, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 2000 - April 9, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
