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DG

Duncan D. Gamble

Some features on this profile are disabled
CRD#: 4298970
DG

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.

Duncan Digby Gamble was a registered financial professional .

Duncan is a previously registered financial professional and started their career in finance in 2000. Duncan had worked at 2 firms and has passed the Series 7 exam.

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Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 1, 2002 - October 11, 2012

AUERBACH GRAYSON & COMPANY LLC

BD
CRD#: 30761
NEW YORK, NY
Past

November 15, 2000 - May 29, 2001

WILSON HTM (USA) INC.

BD
CRD#: 42900
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 11/14/2000
General Securities Representative Examination

Current Firm

AG
AUERBACH GRAYSON & COMPANY LLC
AGCO | JL AUERBACH & COMPANY INCORPORATED | AUERBACH GRAYSON & COMPANY LLC | AUERBACH GRAYSON & COMPANY INCORPORATED | AUERBACH GRAYSON & CO. | AUERBACH GRAYSON | AUERBACH

CRD#: 30761 / SEC#: , 8-45136

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

Main Address
20w 55th Street 4th Floor, New York, NY 10019
Mailing Address
20w 55th Street, New York, NY 10019
Phone number
(212) 557-4444
Established
Delaware since 01/29/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HDH GLOBAL LLCOWNER
AIKINS, GIL OCCO / CLO5157274
BHATNAGAR, NIKHILCHIEF EXECUTIVE OFFICER5874592
HEWITT, MICHAEL THOMAS JRFINOP6594844
MANDEL, SIMON MARKOVICHBOARD MEMBER5824632
TOKATLILAR, LEONGLOBAL HEAD OF OPERATIONS5838809

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

AUERBACH GRAYSON & COMPANY LLC

CRD#: 30761

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