Duncan L. Niederauer

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CRD#: 1755301

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 Leigh Niederauer was a registered financial professional .

Duncan is a previously registered financial professional and started their career in finance in 1987. Duncan had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

January 15, 2019 - October 26, 2021

TRANSCEND CAPITAL ADVISORS, LLC

RIA

CRD#: 299723

Short Hills, NJ

Past

May 14, 2018 - March 27, 2019

DRIVEWEALTH INSTITUTIONAL LLC

CRD#: 33038

NEW YORK, NY

Past

April 21, 2016 - January 29, 2019

MOUNTAIN TOP ADVISORY GROUP

RIA

CRD#: 226728

SHORT HILLS, NJ

Past

February 19, 2015 - March 10, 2015

SCENIC ADVISEMENT

CRD#: 169716

SAN FRANCISCO, CA

Past

August 30, 2001 - April 28, 2005

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

October 20, 1987 - May 4, 2007

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRANSCEND CAPITAL ADVISORS, LLC

TRANSCEND CAPITAL ADVISORS, LLC | TRANSCEND WEALTH COLLECTIVE, LLC

CRD#: 299723 / SEC#: 801-114435

RIA

Registered Investment Advisory firm - (12/12/2018 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/26/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/4/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/3/1997

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/17/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/8/2002

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 2/20/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/16/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

TRANSCEND CAPITAL ADVISORS, LLC

TRANSCEND CAPITAL ADVISORS, LLC | TRANSCEND WEALTH COLLECTIVE, LLC

CRD#: 299723 / SEC#: 801-114435

RIA

Registered Investment Advisory firm - (12/12/2018 Approved)

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Contact information

Main Address

7 Giralda Farms Suite 300, Madison, NJ 07940

Mailing Address

Phone number

(973) 370-3203

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRANSCEND CAPITAL ADVISORS, LLC - PART 2A BROCHURE (10/16/2025)

TRANSCEND CAPITAL ADVISORS, LLC - WRAP FEE PROGRAM (3/28/2025)

Regulatory assets under management

Total Number of Accounts	5,003
AUM (Assets Under Management)	$ 3,099,629,575

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/17/2025	Cover Page	Report
01/26/2024	Cover Page	Report
11/28/2022	Cover Page	Report

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.

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Firm Stability Insights

Duncan L. Niederauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DRIVEWEALTH INSTITUTIONAL LLC

MOUNTAIN TOP ADVISORY GROUP

SCENIC ADVISEMENT

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

TRANSCEND CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/26/2015

Series 63

Date: 8/4/1988

SIE

Date: 10/1/2018

Series 3

Date: 4/3/1997

Series 7

Date: 10/17/1987

Series 24

Date: 4/8/2002

Series 10

Date: 2/20/2002

Series 9

Date: 1/16/2002

Current Firm

TRANSCEND CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRANSCEND CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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