Desmond A. Duncker
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.
Desmond Andrew Duncker, who also goes by Desi Duncker, Desmond A Duncker Jr, Desmond A Duncker, Desmond Andrew Duncker Jr., Desmond Andrew Duncker Jr, Desmond Duncker, was a registered financial professional .
Desmond is a previously registered financial professional and started their career in finance in 1999. Desmond had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 79, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2019 - July 6, 2020
GB CAPITAL MARKETS LLC
August 14, 2017 - March 29, 2019
OBERON SECURITIES, LLC
August 25, 2014 - April 12, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 5, 2011 - August 4, 2011
COWEN AND COMPANY
September 15, 2005 - September 2, 2008
GOLDMAN SACHS & CO. LLC
September 23, 1999 - April 14, 2000
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 10/7/2019
General Securities Representative ExaminationCurrent Firm
GB CAPITAL MARKETS LLC
CRD#: 25591 / SEC#: , 8-41854
Contact information
FINRA licenses (10 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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