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KD

Kenneth G. Duncan

FIRST CITIZENS INVESTOR SERVICES
RALEIGH, NC 27615
CRD#: 2100838
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KD
Kenneth Gordon DuncanFIRST CITIZENS INVESTOR SERVICES

Professional summary

Kenneth Gordon Duncan is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Raleigh, North Carolina and SVB WEALTH located in Raleigh, North Carolina.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Kenneth has worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Kenneth Gordon Duncan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

September 8, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615
RIA
BD
CRD#: 44430
RALEIGH, NC
Current

June 8, 2026 - Present

SVB WEALTH

Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615
RIA
CRD#: 172832
RALEIGH, NC
Current

June 8, 2026 - Present

FIRST CITIZENS ASSET MANAGEMENT, INC

Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615
RIA
CRD#: 140777
RALEIGH, NC
Current

September 4, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615
RIA
BD
CRD#: 44430
RALEIGH, NC
Past

February 27, 2020 - December 10, 2024

PNC CAPITAL MARKETS LLC

BD
CRD#: 15647
Tampa, FL
Past

June 2, 2016 - December 10, 2024

PNC CAPITAL ADVISORS LLC

RIA
CRD#: 151829
Tampa, FL
Past

May 26, 2016 - December 31, 2019

FORESIDE DISTRIBUTION SOLUTIONS, LLC

BD
CRD#: 118787
CLEVELAND, OH
Past

December 6, 2011 - May 16, 2016

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
PITTSBURGH, PA
Past

December 2, 2011 - May 16, 2016

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PITTSBURGH, PA
Past

May 4, 2011 - November 7, 2011

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
ADDISON, TX
Past

May 4, 2011 - November 7, 2011

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
ADDISON, TX
Past

April 2, 2008 - February 25, 2011

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
DALLAS, TX
Past

October 15, 2007 - February 25, 2011

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
DALLAS, TX
Past

March 31, 2003 - December 19, 2003

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

May 10, 2002 - December 19, 2003

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
INDIANAPOLIS, IN
Past

April 16, 2001 - March 21, 2003

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
RALEIGH, NC
Past

February 19, 1992 - March 21, 2003

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

September 17, 1991 - February 4, 1992

UNIFIED FINANCIAL SECURITIES, LLC

BD
CRD#: 7868
INDIANAPOLIS, IN

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".
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE

CRD#: 172832 / SEC#: 801-80480

RIA
Registered Investment Advisory firm - (10/2/2014 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(9/4/2025)
IAR
North Carolina
(9/8/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/30/2007
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/16/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/4/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/11/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/11/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 11/30/1994
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE

CRD#: 172832 / SEC#: 801-80480

RIA
Registered Investment Advisory firm - (10/2/2014 Approved)
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Contact information

Main Address
53 State Street 28th Floor, Boston, MA 02109
Mailing Address
Po Box 27131, Raleigh, NC 27611
Phone number
(617) 223-0200
Established
Firm type
Fiscal year end
# of Employees
85

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)
SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts3,739
AUM (Assets Under Management)$ 4,983,411,995

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/21/2025
Cover Page
Report
09/20/2024
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.

Company Information

SVB WEALTH

CRD#: 172832Raleigh, NC 27615

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