Charles M. Duncan

APTUS FINANCIAL

Little Rock, AR

Some features on this profile are disabled

CRD#: 3073476

Professional summary

Charles Matthew Duncan, who also goes by Matt Duncan, is a registered financial advisor currently at APTUS FINANCIAL, LLC located in Little Rock, Arkansas.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Charles has worked at 2 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matt Duncan

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.

P.A.R.K Foundation, 6915 Geyer Springs Rd., Little Rock, AR, 72209. P.A.R.K., or Positive Atmosphere Reaches Kids, strives to enrich the lives of central Arkansas' at-risk youth (grades 8 - 12). Serve on the board and as a member of the finance committee, which includes making recommendations (along with all other finance committee members) regarding target allocations for the foundation's investment portfolio. P.A.R.K. does not directly manage the investment accounts. Began work on the board in 2016. Spend approximately 30 minutes per month, all during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Matthew Duncan'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®

None

Experience

Current

July 18, 2018 - Present

APTUS FINANCIAL, LLC

RIA

CRD#: 280033

Little Rock, AR

Past

April 24, 2007 - June 5, 2018

STEPHENS

RIA

CRD#: 3496

LITTLE ROCK, AR

Past

July 3, 2001 - June 5, 2018

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

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".

APTUS FINANCIAL, LLC

CRD#: 280033 / SEC#: 801-120751

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

Arkansas

Registered Investment Advisory firm - (5/3/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arkansas
(7/18/2018)

IAR

Texas
(1/3/2025)

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

Series 63

Date: 7/20/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/5/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 9/23/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 7/2/2001

General Securities Representative Examination

Current Firm

APTUS FINANCIAL, LLC

CRD#: 280033 / SEC#: 801-120751

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

Arkansas

Registered Investment Advisory firm - (5/3/2021 Terminated)

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

Little Rock, AR

Mailing Address

Po Box 251510, Little Rock, AR 72225

Phone number

(501) 907-1993

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APTUS FINANCIAL BROCHURE (10/2/2025)

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

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles M. Duncan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Matthew Duncan's CRS (Customer Relationship Summary).

Certified licenses

Experience

APTUS FINANCIAL, LLC

STEPHENS

STEPHENS

Primary Firm SEC Registration

APTUS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/20/2001

SIE

Date: 6/5/2018

Series 87

Date: 9/23/2004

Series 7

Date: 7/2/2001

Current Firm

APTUS FINANCIAL, LLC

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

APTUS FINANCIAL, LLC

TRUST BUT VERIFY

Similar Advisors