James M. Duncan
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.
James Michael Duncan, who also goes by Mike Duncan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 5 firms and has passed the Series 63, SIE 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
January 27, 2004 - November 14, 2023
SCF SECURITIES, INC.
February 11, 2002 - December 31, 2003
AMERICAN GENERAL SECURITIES INCORPORATED
March 10, 2000 - December 31, 2001
AMERICAN GENERAL SECURITIES INCORPORATED
October 29, 1998 - March 24, 2000
ALLSTATE FINANCIAL SERVICES, LLC
January 14, 1998 - October 29, 1998
AFD, INC.
November 23, 1990 - December 31, 1997
AMERICAN GENERAL SECURITIES INCORPORATED
January 23, 1990 - November 20, 1990
EQUITY ENGINEERING, INC.
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
SCF SECURITIES, INC.
CRD#: 47275 / SEC#: , 8-51760
Contact information
FINRA licenses (5 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
