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DH

Duncan Clay Hall

REGIONS SECURITIES LLC
Charlotte, NC 28202
Some features on this profile are disabled
CRD#: 4203175
DH

Professional summary

Duncan Clay Hall, who also goes by Duncan Clay Hall, is a registered financial professional currently at REGIONS SECURITIES LLC located in Charlotte, North Carolina.

Duncan Clay is registered as a RR (Registered Representative) and started their career in finance in 2000. Duncan Clay has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Duncan Clay Hall

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) - BD

Click below to view Duncan Clay Hall'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 21, 2018 - Present

REGIONS SECURITIES LLC

Office #1: 615 South College Street, Charlotte, NC 28202
BD
CRD#: 159475
Charlotte, NC
Past

November 1, 2010 - May 11, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHARLOTTE, NC
Past

August 7, 2007 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
CHARLOTTE, NC
Past

August 19, 2004 - March 8, 2005

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

August 23, 2000 - August 21, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(11/12/2025)
RR
North Carolina
(5/21/2018)
RR
Texas
(11/12/2025)
RR
Virginia
(11/12/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/18/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 11/12/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/22/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/11/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
REGIONS SECURITIES LLC
REGIONS SECURITIES | REGIONS SECURITIES LLC

CRD#: 159475 / SEC#: , 8-68990

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Mailing Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Phone number
(404) 279-7400
Established
Delaware since 10/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
RFC FINANCIAL SERVICES HOLDING LLCPARENT
AMIN, RITVIG NIPENDRACHAIRMAN OF THE BOARD & DIRECTOR2901218
GIARDINO, NEILCEO, PRESIDENT AND DIRECTOR2428962
HOLLOWAY, GLENN CHRISTOPHERFINOP, CFO, PFO, POO & DIRECTOR4566759
MAGGIORE, JILL WRIGHTCHIEF COMPLIANCE OFFICER & DIRECTOR1001068
MAXWELL, JASON MATTHEWCHIEF LEGAL OFFICER & DIRECTOR5997125

Disclosures

Regulatory Event1

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.

Company Information

REGIONS SECURITIES LLC

CRD#: 159475Charlotte, NC 28202

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