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CD

Christine K. Duncan

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CRD#: 1631956
CD

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.

Christine Kay Duncan, who also goes by Christine Duncan, was a registered financial professional .

Christine is a previously registered financial professional and started their career in finance in 1988. Christine had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christine Duncan

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 9, 2016 - November 23, 2016

GVC CAPITAL LLC

BD
CRD#: 38923
GREENWOOD VILLAGE, CO
Past

March 24, 2014 - April 16, 2014

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
GREENWOOD VILLAGE, CO
Past

March 17, 2014 - April 16, 2014

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
GREENWOOD VILLAGE, CO
Past

November 19, 2012 - January 2, 2013

FFEC WEALTH PARTNERS LLC

RIA
CRD#: 16507
DENVER, CO
Past

November 19, 2012 - January 2, 2013

FFEC WEALTH PARTNERS LLC

BD
CRD#: 16507
DENVER, CO
Past

January 23, 2012 - November 28, 2012

WADDELL & REED

RIA
CRD#: 866
DENVER, CO
Past

January 1, 2012 - November 28, 2012

WADDELL & REED

BD
CRD#: 866
DENVER, CO
Past

May 1, 2007 - April 16, 2010

JANCO PARTNERS, INC.

BD
CRD#: 40055
GREENWOOD VILLAGE, CO
Past

August 22, 1995 - December 13, 2006

ML PETRIE PARKMAN CO., INC.

BD
CRD#: 25894
DENVER, CO
Past

January 27, 1995 - August 4, 1995

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 30, 1989 - April 17, 1991

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

August 23, 1988 - August 8, 1989

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/20/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/2/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/23/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/28/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/20/1988
General Securities Representative Examination

Current Firm

GC
GVC CAPITAL LLC
BATHGATE CAPITAL PARTNERS LLC | GVC CAPITAL LLC | BATHGATE MCCOLLEY CAPITAL GROUP LLC

CRD#: 38923 / SEC#: , 8-48465

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

Main Address
16318 E Berry Ave, Centennial, CO 80015
Mailing Address
16318 E Berry Ave, Centennial, CO 80015
Phone number
(303) 694-0862
Established
Colorado since 06/09/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GVC PARTNERS LLCMEMBER
FULTON, GREGORY GALESENIOR MANAGING PARTNER215757
HUEBNER, RICHARD TYSONSENIOR MANAGING PARTNER1080361
HUEBNER, RICHARD TYSONCEO, CCO1080361

Disclosures

Regulatory Event4

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

GVC CAPITAL LLC

CRD#: 38923

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