Duncan S. Vanderbilt
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 Steven Vanderbilt III, who also goes by Duncan S Vanderbilt, was a registered financial professional .
Duncan is a previously registered financial professional and started their career in finance in 2002. Duncan had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2013 - December 31, 2016
KMS FINANCIAL SERVICES, INC.
January 28, 2013 - December 31, 2016
KMS FINANCIAL SERVICES, INC.
November 16, 2011 - October 10, 2012
TPG FINANCIAL ADVISORS, LLC
November 15, 2011 - October 9, 2012
GENEOS WEALTH MANAGEMENT, INC.
January 30, 2008 - November 30, 2011
MSI FINANCIAL SERVICES, INC.
January 18, 2008 - November 30, 2011
MSI FINANCIAL SERVICES, INC.
March 13, 2006 - January 28, 2008
ALLSTATE FINANCIAL SERVICES, LLC
March 15, 2005 - May 2, 2005
FIRST COMMAND BANK
March 28, 2002 - May 2, 2005
FIRST COMMAND BROKERAGE SERVICES, 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
Exams
Current Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
