Duane A. Nordquist
Professional summary
Duane Arthur Nordquist was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Duane is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Duane had worked at 2 firms, which includes WALNUT STREET SECURITIES INC., AMERICAN GENERAL EQUITY SERVICES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 1998 - May 7, 1999
WALNUT STREET SECURITIES, INC.
February 3, 1986 - January 21, 1998
AMERICAN GENERAL EQUITY SERVICES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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