Daniel W. Duncan
Professional summary
Daniel W Duncan, CIMA®, who also goes by Daniel Wells Duncan, Daniel Duncan, Daniel W Duncan, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Larkspur, California.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2001. Daniel has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel W Duncan's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 6, 2014 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 60 E. Sir Francis Drake Blvd Suite 200, Larkspur, CA 94939October 10, 2007 - October 1, 2014
FORESIDE FUNDS DISTRIBUTORS LLC
April 18, 2005 - October 1, 2007
JANUS HENDERSON DISTRIBUTORS US LLC
January 23, 2003 - March 4, 2005
CUNA BROKERAGE SERVICES, INC.
January 23, 2003 - March 4, 2005
CUNA BROKERAGE SERVICES, INC.
February 22, 2002 - August 6, 2002
MORGAN STANLEY DW INC.
July 13, 2001 - August 6, 2002
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/8/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(2/10/2017)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
(10/6/2014)
Exams
FINRA
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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
ALPS DISTRIBUTORS, INC.
CRD#: 16853Larkspur, CA 94939TRUST BUT VERIFY
Monitor Daniel Duncan
Get automatic monthly alerts on:
