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DB

Duncan D. Bell

E&J SECURITIES
NEW YORK, NY 10038
Some features on this profile are disabled
CRD#: 1486257
DB

Professional summary

Duncan David Bell is a registered financial professional currently at E&J SECURITIES CORP. located in New York, New York.

Duncan is registered as a RR (Registered Representative) and started their career in finance in 1993. Duncan has worked at 10 firms and has passed the Series 66, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 25, Series 7, Series 10, Series 24 and Series 12 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Duncan David Bell's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 20, 2007 - Present

E&J SECURITIES CORP.

Office #1: C/o Accounting & Compliance International 199 Water Street 9th Fl, New York, NY, 10038
BD
CRD#: 37452
NEW YORK, NY
Past

April 17, 2018 - December 12, 2018

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY
Past

May 20, 2013 - October 23, 2017

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY
Past

September 21, 2009 - June 11, 2013

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

BD
CRD#: 118812
NEW YORK, NY
Past

January 2, 2009 - July 9, 2009

MND PARTNERS, INC.

BD
CRD#: 131833
NEW YORK, NY
Past

March 27, 2007 - April 23, 2007

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
BETHLEHEM, PA
Past

March 12, 2007 - April 23, 2007

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
BETHLEHEM, PA
Past

January 2, 2002 - March 12, 2007

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
NEW YORK, NY
Past

February 13, 2001 - January 2, 2002

HENDERSON BROTHERS, INC.

BD
CRD#: 2171
NEW YORK, NY
Past

November 13, 1995 - February 26, 2001

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

March 6, 1994 - December 9, 1995

JW GENESIS CLEARING CORP.

BD
CRD#: 6631
BOCA RATON, FL
Past

November 23, 1993 - February 21, 1994

WAGNER, STOTT & CO.

BD
CRD#: 3690
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(4/9/2008)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/26/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/24/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/9/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 25
Date: 12/9/1999
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 6/24/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/3/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 12
Date: 3/29/1993
NYSE Branch Manager Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

ES
E&J SECURITIES CORP.
E&J SECURITIES CORP.

CRD#: 37452 / SEC#: , 8-47773

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
C/o Accounting & Compliance International 199 Water Street 9th Fl, New York, NY, 10038
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Fl, New York, NY, 10038
Phone number
(212) 306-2510
Established
New York since 10/21/1994
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CURRAN, EDWARD MICHAELPRES/DIR/SECY/TREAS/CEO/CCO1782784
BELL, DUNCAN DAVIDSALES SUPERVISOR1486257
CHUN, YUENNAFINOP/COO2219603

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.

Company Information

E&J SECURITIES CORP.

CRD#: 37452New York, NY 10038

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