Andrew R. Duncan

Some features on this profile are disabled

CRD#: 2856286

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.

Andrew Ryan Duncan was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1997. Andrew had worked at 5 firms and has passed the Series 65, Series 63 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.

The advisor shows no other business activity.

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

March 26, 2024 - September 15, 2025

FOSTER VICTOR

RIA

CRD#: 283656

GREENVILLE, SC

Past

March 9, 2017 - November 9, 2022

FROST INVESTMENT ADVISORS, LLC

RIA

CRD#: 146148

SAN ANTONIO, TX

Past

May 16, 2012 - August 25, 2017

KEMPNER CAPITAL MANAGEMENT, INC.

RIA

CRD#: 104784

GALVESTON, TX

Past

March 9, 2011 - May 1, 2012

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

LEAGUE CITY, TX

Past

January 18, 2011 - April 30, 2012

ANRIA

RIA

CRD#: 155158

LEAGUE CITY, TX

Past

May 9, 2005 - January 26, 2011

SECURITIES MANAGEMENT & RESEARCH, INC.

RIA

CRD#: 759

LEAGUE CITY, TX

Past

December 15, 1997 - January 26, 2011

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

LEAGUE CITY, TX

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".

FOSTER VICTOR

BEN ADVISORS, LLC | FOSTER VICTOR WEALTH ADVISORS, LLC | FOSTER VICTOR WEALTH ADVISORS | FOSTER VICTOR

CRD#: 283656 / SEC#: 801-107775

RIA

Registered Investment Advisory firm - (5/4/2016 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 65

Date: 12/22/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/22/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/11/1997

General Securities Representative Examination

Current Firm

FOSTER VICTOR

BEN ADVISORS, LLC | FOSTER VICTOR WEALTH ADVISORS, LLC | FOSTER VICTOR WEALTH ADVISORS | FOSTER VICTOR

CRD#: 283656 / SEC#: 801-107775

RIA

Registered Investment Advisory firm - (5/4/2016 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10 Toy Street Suite 200, Greenville, SC 29601

Mailing Address

Phone number

(864) 720-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (6/3/2025)

Regulatory assets under management

Total Number of Accounts	5,795
AUM (Assets Under Management)	$ 2,153,072,996

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andrew R. Duncan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FROST INVESTMENT ADVISORS, LLC

KEMPNER CAPITAL MANAGEMENT, INC.

SECURITIES MANAGEMENT & RESEARCH, INC.

ANRIA

SECURITIES MANAGEMENT & RESEARCH, INC.

SECURITIES MANAGEMENT & RESEARCH, INC.

Primary Firm SEC Registration

FOSTER VICTOR

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1997

Series 63

Date: 12/22/1997

Series 7

Date: 12/11/1997

Current Firm

FOSTER VICTOR

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOSTER VICTOR

TRUST BUT VERIFY

Similar Advisors