Duncan S. Rowland

ROWAYTON INVESTMENT ADVISORS

Norwalk, CT

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CRD#: 406168

Professional summary

Duncan Stewart Rowland SR, who also goes by Duncan S Rowland, Duncan Stewart Rowland, is a registered financial advisor currently at ROWAYTON INVESTMENT ADVISORS located in Norwalk, Connecticut.

Duncan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. Duncan has worked at 11 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Duncan S Rowland | Duncan Stewart Rowland

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) - RIA

Click below to view Duncan Stewart Rowland SR's 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

May 24, 2012 - Present

ROWAYTON INVESTMENT ADVISORS

RIA

CRD#: 161597

Norwalk, CT

Past

January 13, 2001 - June 7, 2006

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

January 12, 2001 - June 7, 2006

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

GREENWICH, CT

Past

September 1, 1997 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

September 18, 1991 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

August 16, 1985 - May 1, 1987

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

July 20, 1984 - July 18, 1985

ROONEY, PACE INC.

CRD#: 6218

Past

November 5, 1980 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

October 20, 1980 - May 25, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 18, 1978 - June 26, 1978

LOEB PARTNERS

CRD#: 7534

Past

August 26, 1971 - January 18, 1978

LOEB, RHOADES & CO. INC.

CRD#: 525

Past

June 19, 1970 - April 12, 1971

EDWARDS & HANLY

CRD#: 6554

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

Connecticut
(5/24/2012)

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: 5/4/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/30/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 9/7/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 5/2/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 8/28/1974

Registered Principal Examination

Current Firm

ROWAYTON INVESTMENT ADVISORS

ROWAYTON INVESTMENT ADVISORS | ROWLAND, DUNCAN S.

CRD#: 161597 / SEC#:

Connecticut

Registered Investment Advisory firm - (5/24/2012 Approved)

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Contact information

Main Address

Norwalk, CT

Mailing Address

Phone number

(203) 921-8880

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 12,000,000

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.

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Firm Stability Insights

Duncan S. Rowland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Duncan Stewart Rowland SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

ROONEY, PACE INC.

LEHMAN BROTHERS KUHN LOEB INCORPORATED

LEHMAN BROTHERS INC.

LOEB PARTNERS

LOEB, RHOADES & CO. INC.

EDWARDS & HANLY

State Registrations and Notice Filings

Exams

Series 65

Date: 5/4/2012

Series 63

Date: 9/30/1991

PC

Date: 9/7/1977

Series 1

Date: 5/2/1969

Series 40

Date: 8/28/1974

Current Firm

ROWAYTON INVESTMENT ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROWAYTON INVESTMENT ADVISORS

TRUST BUT VERIFY

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