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BD

Brian J. Duval

SS&C MARKET SERVICES
Edina, MN 55435
Some features on this profile are disabled
CRD#: 2495067
BD

Professional summary

Brian John Duval is a registered financial professional currently at SS&C MARKET SERVICES, LLC located in Edina, Minnesota.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 8 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Brian John Duval's 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

January 14, 2026 - Present

SS&C MARKET SERVICES, LLC

Office #1: 7650 Edinborough Way Suite 400, Edina, MN 55435
BD
CRD#: 23568
Edina, MN
Past

January 2, 2014 - March 19, 2024

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

February 24, 2012 - December 31, 2013

SUNGARD INSTITUTIONAL BROKERAGE INC.

BD
CRD#: 8509
LOMBARD, IL
Past

January 25, 2011 - December 31, 2011

SUNGARD INSTITUTIONAL BROKERAGE INC.

BD
CRD#: 8509
LOMBARD, IL
Past

September 25, 2006 - January 16, 2009

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
CHICAGO, IL
Past

January 1, 2006 - September 25, 2006

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

February 27, 1998 - June 10, 1999

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

February 24, 1995 - December 4, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

June 1, 1994 - November 30, 1994

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

BD
CRD#: 7404
NEW YORK, NY

State Registrations and Notice Filings

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

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
Illinois
(1/14/2026)
RR
Michigan
(1/14/2026)
RR
New York
(1/14/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/11/2011
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/13/1995
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/29/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/31/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/9/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SM
SS&C MARKET SERVICES, LLC
AE SERVICES, INC. | WALL STREET PREFERRED MONEY MANAGERS, INC. | WALL STREET ADVISORS, LLC | WALL STREET ADVISORS, INC. | WALL STREET ADVISOR SERVICES, LLC | SS&C MARKET SERVICES, LLC | DST MARKET SERVICES, LLC

CRD#: 23568 / SEC#: , 8-40530

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Post Office Square 9th Floor, Boston, MA 02109
Mailing Address
One Post Office Square 9th Floor, Boston, MA 02109
Phone number
(770) 370-4150
Established
New York since 01/12/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SS&C GIDS, INC.100% OWNER
BECK, DANIEL BRIANPRESIDENT3025596
LONG, PATRICK JEROMEHEAD OF OPERATIONS6093124
MULKERN, JOHN JOSEPH JR.CHIEF COMPLIANCE OFFICER AND SECRETARY4197230
PARSONS, ERIC TFINOP, PRINCIPAL FINANCIAL OFFICER5215115
SCHELL, BRIAN NORMANASSISTANT SECRETARY4414042

Disclosures

Regulatory Event1

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

SS&C MARKET SERVICES, LLC

CRD#: 23568Edina, MN 55435

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