Duncan N. Morton
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 Nmn Morton, who also goes by Duncan Nmn Morton III, III Duncan Morton, was a registered financial professional .
Duncan is a previously registered financial professional and started their career in finance in 1998. Duncan had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2017 - April 16, 2019
INSTITUTE FOR WEALTH ADVISORS, INC.
January 9, 2017 - February 7, 2017
SOWELL MANAGEMENT
November 27, 2012 - July 20, 2017
CONCERT WEALTH MANAGEMENT
October 2, 2009 - December 13, 2012
SUMMIT CREEK CAPITAL LLC
September 4, 2007 - August 13, 2009
INTERFUND CAPITAL CORP.
July 3, 2002 - September 10, 2007
UBS FINANCIAL SERVICES INC.
April 1, 1998 - September 10, 2007
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
INSTITUTE FOR WEALTH ADVISORS, INC.
CRD#: 149347 / SEC#: 801-69925
Contact information
Red Flags
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