Jack E. 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.
Jack Edward Duncan was a registered financial advisor .
Jack is a previously registered financial advisor and started their career in finance in 1991. Jack had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2016 - May 3, 2016
MSI FINANCIAL SERVICES, INC.
October 10, 2014 - October 26, 2015
TRUIST INVESTMENT SERVICES, INC.
September 2, 2014 - October 26, 2015
TRUIST INVESTMENT SERVICES, INC.
February 27, 2012 - August 15, 2014
CUSO FINANCIAL SERVICES, L.P.
February 10, 2012 - August 15, 2014
CUSO FINANCIAL SERVICES, L.P.
September 3, 2009 - January 31, 2012
MORGAN KEEGAN & COMPANY, LLC
August 31, 2009 - January 31, 2012
MORGAN KEEGAN & COMPANY, LLC
July 12, 2007 - August 12, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
July 10, 2007 - August 12, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
August 12, 2004 - July 16, 2007
TRUIST INVESTMENT SERVICES, INC.
August 10, 2004 - July 16, 2007
TRUIST INVESTMENT SERVICES, INC.
October 11, 2002 - August 10, 2004
PRUCO SECURITIES, LLC.
June 29, 2000 - September 26, 2002
WALNUT STREET SECURITIES, INC.
December 1, 1999 - June 28, 2000
PARK AVENUE SECURITIES LLC
November 13, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 13, 1991 - October 13, 1999
PRUCO SECURITIES, 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
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
