Duncan Rowley
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.
Duncan Rowley was a registered financial professional .
Duncan is a previously registered financial professional and started their career in finance in 1990. Duncan had worked at 8 firms and has passed the Series 63 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
April 1, 2011 - May 22, 2012
BACKSTROM MCCARLEY BERRY & CO., LLC
August 13, 2010 - March 31, 2011
BLAYLOCK VAN, LLC
October 1, 1998 - May 8, 2009
BANC OF AMERICA SECURITIES LLC
November 12, 1996 - October 1, 1998
BANCAMERICA SECURITIES, INC.
January 27, 1993 - March 18, 1997
BUTLER MUNI, LLC
August 23, 1991 - March 13, 1992
UBS FINANCIAL SERVICES INC.
September 19, 1990 - May 8, 1991
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
February 13, 1990 - September 5, 1990
PRAGER & CO., LLC
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
BACKSTROM MCCARLEY BERRY & CO., LLC
CRD#: 124503 / SEC#: , 8-65679
Contact information
FINRA licenses (24 States and Territories)
Documents
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.
