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DS

Duane K. Shumaker

BALBOA WEALTH PARTNERS
Tucson, AZ 85718
Some features on this profile are disabled
CRD#: 2744735
DS

Professional summary

Duane Kevin Shumaker, CFP® is a registered financial advisor currently at BALBOA WEALTH PARTNERS, INC. located in Tucson, Arizona.

Duane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Duane has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

top-8-questions

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.
1.) SHUMAKER, WENGREN, LLC POSITION: MANAGING PARTNER, HOURS: 100; NON-INVESTMENT RELATED. LOCATED AT: 310 S. WILLIAMS BLVD, SUITE 310, TUCSON, AZ 85711 HOURS: 50 START DATE: 06/01/2008 DESCRIPTION: PREPARE PERSONAL AND BUSINESS TAX RETURNS. SUPERVISE BOOKKEEPERS. 2.)ROBINSON & SHUMAKER WEALTH MANAGEMENT POSITION: dba NATURE: dba for business conducted through BALBOA WEALTH PARTNERS, INC. Investment related: No. NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 04/16/2019 ADDRESS: 3567 E SUNRISE DR, SUITE 119, TUCSON AZ 85718, United States DESCRIPTION: investments 3) SUNRISE TAX AND PLANNING; NOT INVESTMENT RELATED; SAME AS REPORTED BUSINESS LOCATION; TAX PREPARATION AND FILING; 60 PERCENT OWNERSHIP; 50 HOURS PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Duane Kevin Shumaker'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®
CFP®

Certified Financial Planner

Start date: 2000

Experience

Current

February 11, 2022 - Present

BALBOA WEALTH PARTNERS, INC.

Office #1: 3567 E. Sunrise Ste 119, Tucson, AZ 85718
RIA
CRD#: 282329
Tucson, AZ
Past

February 12, 2015 - February 14, 2022

FFEC WEALTH PARTNERS LLC

RIA
CRD#: 16507
Tucson, AZ
Past

January 30, 2015 - February 14, 2022

FFEC WEALTH PARTNERS LLC

BD
CRD#: 16507
Tucson, AZ
Past

January 22, 2009 - February 3, 2015

GROVE POINT INVESTMENTS, LLC

RIA
CRD#: 1763
TUCSON, AZ
Past

January 2, 2009 - February 3, 2015

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
TUCSON, AZ
Past

June 24, 2003 - January 2, 2009

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA
CRD#: 108728
TUCSON, AZ
Past

August 14, 2002 - November 21, 2002

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA
CRD#: 108728
TUCSON, AZ
Past

July 27, 2002 - December 31, 2008

PACIFIC WEST SECURITIES, INC.

BD
CRD#: 6390
TUCSON, AZ
Past

March 13, 2002 - July 31, 2002

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

August 6, 1998 - March 13, 2002

PIM FINANCIAL SERVICES, INC.

BD
CRD#: 10547
SAN MARCOS, CA
Past

May 28, 1998 - August 7, 1998

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

June 19, 1996 - September 2, 1997

MORGAN STANLEY DW INC.

BD
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".
BW
BALBOA WEALTH PARTNERS, INC.
BALBOA WEALTH PARTNERS, INC. | ZELKO WEALTH MANAGEMENT | WILLOW COVE | WEALTH MANAGEMENT SOLUTIONS | TOZAI WEALTH MANAGEMENT | SEASONS TWO VENTURES FUND | SB WEALTH STRATEGIES | SAM FINANCIAL GROUP | ROCKWOOD INVESTMENT COUNSEL | ROBINSON SHUMAKER WEALTH MANAGEMENT | NAUTICAL WEALTH MANAGEMENT | GATEWAY CAPITAL WEALTH | FSA INTEGRATED | ESSENTIAL RETURNS | BION CAPITAL PARTNERS | BION CAPITAL

CRD#: 282329 / SEC#: 801-107029

RIA
Registered Investment Advisory firm - (12/11/2015 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.

Highlighted states indicate IAR registrations

IAR
Arizona
(2/11/2022)
IAR
Texas
(8/21/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/3/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/24/1996
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 31
Date: 7/3/1996
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/5/1998
General Securities Principal Examination

Current Firm

BW
BALBOA WEALTH PARTNERS, INC.
BALBOA WEALTH PARTNERS, INC. | ZELKO WEALTH MANAGEMENT | WILLOW COVE | WEALTH MANAGEMENT SOLUTIONS | TOZAI WEALTH MANAGEMENT | SEASONS TWO VENTURES FUND | SB WEALTH STRATEGIES | SAM FINANCIAL GROUP | ROCKWOOD INVESTMENT COUNSEL | ROBINSON SHUMAKER WEALTH MANAGEMENT | NAUTICAL WEALTH MANAGEMENT | GATEWAY CAPITAL WEALTH | FSA INTEGRATED | ESSENTIAL RETURNS | BION CAPITAL PARTNERS | BION CAPITAL

CRD#: 282329 / SEC#: 801-107029

RIA
Registered Investment Advisory firm - (12/11/2015 Approved)
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Contact information

Main Address
6263 North Scottsdale Road Suite 265, Scottsdale, AZ 85250
Mailing Address
Phone number
(949) 445-1465
Established
Firm type
Fiscal year end
# of Employees
31

SEC notice filing (17 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE (7/18/2025)
FORM ADV PART 2A (7/18/2025)

Regulatory assets under management

Total Number of Accounts2,068
AUM (Assets Under Management)$ 804,833,455

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

BALBOA WEALTH PARTNERS, INC.

CRD#: 282329Tucson, AZ 85718

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