Neil B. Duncan
Professional summary
Neil Bowie Duncan, who also goes by Neil Bowie Duncan III, Neil Duncan, Neil B Duncan, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Chicago, Illinois.
Neil is registered as a RR (Registered Representative) and started their career in finance in 1999. Neil has worked at 14 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neil Bowie Duncan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 10, 2025 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 222 W. Adams Street Suite 2050, Chicago, IL 60606July 27, 2022 - February 25, 2025
TRANSAMERICA INVESTORS SECURITIES, LLC
July 20, 2022 - February 25, 2025
TRANSAMERICA RETIREMENT ADVISORS, LLC
February 10, 2021 - November 2, 2021
EQUITABLE ADVISORS, LLC
July 10, 2020 - November 2, 2021
EQUITABLE ADVISORS, LLC
June 6, 2019 - July 30, 2019
KINGSWOOD CAPITAL PARTNERS, LLC
December 26, 2018 - April 30, 2019
ALPS DISTRIBUTORS, INC.
December 13, 2011 - January 6, 2017
CHARLES SCHWAB & CO., INC.
October 4, 2011 - January 6, 2017
CHARLES SCHWAB & CO., INC.
June 10, 2008 - May 21, 2010
PRINCIPAL FUNDS DISTRIBUTOR, INC.
June 7, 2007 - May 1, 2008
MORGAN STANLEY & CO. LLC
June 7, 2007 - May 1, 2008
MORGAN STANLEY & CO. LLC
May 2, 2006 - May 1, 2007
COREBRIDGE CAPITAL SERVICES, INC.
August 31, 2004 - May 3, 2006
CURIAN CAPITAL, LLC
September 11, 2002 - May 1, 2006
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
August 30, 2000 - August 16, 2002
TRANSAMERICA CAPITAL, LLC
March 2, 1999 - August 15, 2000
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
