Matthew A. Duncan
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.
Matthew Allen Duncan was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2000. Matthew had worked at 7 firms and has passed the Series 66, SIE, Series 31, Series 7 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
February 15, 2022 - April 14, 2022
FISHER INVESTMENTS
March 5, 2012 - March 7, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 5, 2012 - October 7, 2021
TD AMERITRADE, INC.
April 1, 2008 - October 7, 2021
TD AMERITRADE, INC.
October 29, 2002 - September 22, 2003
E*TRADE ADVISORY SERVICES, INC.
November 16, 2001 - April 1, 2008
E*TRADE SECURITIES LLC
March 13, 2001 - June 15, 2001
LPL FINANCIAL LLC
March 8, 2000 - December 5, 2000
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
Current Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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