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Duane Scott Mcadoo

CRD# 2696519·Registered 1997 - 2012
Barred: Duane Scott Mcadoo was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Duane Scott Mcadoo, who also goes by Duane Mcadoo, was a registered financial advisor. Duane was a previously registered financial professional and started their career in finance 1997 - 2012. Duane had worked at 16 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Duane Mcadoo

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

30 years in the financial services industry

Current & Past Employments

PHD CAPITAL·CRD# 38785
BD
New York, NY
July 6, 2010 - April 27, 2012
CHADBOURN SECURITIES, INC.·CRD# 39439
BD
New York, NY
October 23, 2007 - September 16, 2008
EMERALD INVESTMENTS, INC.·CRD# 139511
BD
New York, NY
July 17, 2006 - April 23, 2007
SUCCESS TRADE SECURITIES, INC.·CRD# 46027
BD
Washington, DC
April 19, 2006 - July 12, 2006
LEMPERT BROTHERS INTERNATIONAL USA, INC.·CRD# 128241
BD
New York, NY
December 10, 2005 - April 3, 2006
AURA FINANCIAL SERVICES, INC.·CRD# 42822
BD
Birmingham, AL
November 3, 2004 - November 23, 2005
EKN FINANCIAL SERVICES INC.·CRD# 113525
BD
Melville, NY
July 22, 2004 - July 23, 2004
VFINANCE INVESTMENTS, INC·CRD# 44962
BD
Boca Raton, FL
August 4, 2003 - March 8, 2004
S. B. CANTOR & CO., INC.·CRD# 1384
BD
New York, NY
May 5, 2003 - July 29, 2003
BERRY-SHINO SECURITIES, INC.·CRD# 38098
BD
Scottsdale, AZ
July 30, 2002 - February 12, 2003
SOURCE CAPITAL GROUP, INC.·CRD# 36719
BD
Westport, CT
December 4, 2001 - July 25, 2002
FINANCIAL WEST GROUP·CRD# 16668
BD
Reno, NV
September 17, 2001 - December 20, 2001
VALLEY FORGE SECURITIES, INC .·CRD# 20892
BD
Rosemont, PA
July 12, 2001 - October 16, 2001
MILLENNIUM SECURITIES CORP.·CRD# 31695
BD
New York, NY
January 23, 2001 - June 15, 2001
SEABOARD SECURITIES, INC.·CRD# 755
BD
Florham Park, NJ
May 12, 1999 - November 10, 2000
SCHNEIDER SECURITIES, INC.·CRD# 16434
BD
Denver, CO
July 15, 1997 - August 28, 1998

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Current Firm

PC
PHD CAPITAL

PERRIN, HOLDEN AND DAVENPORT CAPITAL CORP. | PHD CAPITAL

CRD#: 38785 / SEC#: 8-48403
BD
Terminated by SEC on 12/10/2012

Contact Information

Established

New York since 02/07/1995

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BRAFF, NELSON MARCVICE PRESIDENT/COO2629134
EISENMAN, JODY JOSEPHPRESIDENT1263068
HOFFMAN, PETER ROSSCFO2929643
SCHUSTER, SIDNEY JOSEPHCHIEF COMPLIANCE OFFICER2039134

Disclosures

Regulatory Event

6

Arbitration

2

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1996About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 1996About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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