Duane S. Pellman

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CRD#: 2426979

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.

Duane Scott Pellman was a registered financial professional .

Duane is a previously registered financial professional and started their career in finance in 1999. Duane had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 6, Series 31 and Series 7 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.

Insurance sales, approximately 10% of time spent during securities business hours, Investment related and conducted from branch location.

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

May 14, 2019 - March 2, 2023

EXCEL WEALTH MANAGEMENT, LLC

RIA

CRD#: 299602

Surf City, NC

Past

January 23, 2018 - May 17, 2019

BELPOINTE ASSET MANAGEMENT LLC

RIA

CRD#: 143440

SURF CITY, NC

Past

May 5, 2016 - January 5, 2017

INTERCAROLINA FINANCIAL SERVICES, INC.

CRD#: 19475

GREENSBORO, NC

Past

December 15, 2014 - May 9, 2016

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Charlotte, NC

Past

September 1, 2011 - September 19, 2012

W R RICE FINANCIAL SERVICES, INC.

CRD#: 36700

BAY CITY, MI

Past

June 3, 2009 - September 4, 2009

GWN SECURITIES INC.

CRD#: 128929

PALM BEACH GARDENS, FL

Past

January 11, 2007 - May 6, 2009

LINCOLN INVESTMENT

CRD#: 519

PITTSBURGH, PA

Past

February 13, 2004 - March 16, 2005

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

June 7, 1999 - January 3, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

EXCEL WEALTH MANAGEMENT, LLC

CRD#: 299602 / SEC#: 801-114524

RIA

Registered Investment Advisory firm - (1/28/2019 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 66

Date: 7/19/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/18/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/15/2014

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 31

Date: 7/9/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/4/1999

General Securities Representative Examination

Current Firm

EXCEL WEALTH MANAGEMENT, LLC

CRD#: 299602 / SEC#: 801-114524

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

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Contact information

Main Address

935 Main Street Unit E, Manchester, CT 06040

Mailing Address

Phone number

(888) 929-9920

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EXCEL WEALTH DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT (4/21/2025)

Regulatory assets under management

Total Number of Accounts	462
AUM (Assets Under Management)	$ 273,041,547

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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Advisor Monitoring

Firm Stability Insights

Duane S. Pellman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BELPOINTE ASSET MANAGEMENT LLC

INTERCAROLINA FINANCIAL SERVICES, INC.

PRINCIPAL SECURITIES, INC.

W R RICE FINANCIAL SERVICES, INC.

GWN SECURITIES INC.

LINCOLN INVESTMENT

WADDELL & REED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

EXCEL WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/19/2017

Series 63

Date: 12/18/2014

SIE

Date: 1/5/2017

Series 6

Date: 12/15/2014

Series 31

Date: 7/9/1999

Series 7

Date: 6/4/1999

Current Firm

EXCEL WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EXCEL WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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