Duncan E. Lardner
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 Edward Lardner, who also goes by Duncan Edward Lardner Mr, Duncan Edward Lardner, was a registered financial professional .
Duncan is a previously registered financial professional and started their career in finance in 2002. Duncan had worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2020 - October 28, 2024
XP INVESTMENTS US, LLC
October 2, 2019 - March 20, 2020
GFI SECURITIES LLC
April 1, 2018 - September 3, 2019
MARKET SECURITIES, LLC
March 28, 2017 - September 5, 2017
CANACCORD GENUITY LLC
October 8, 2013 - March 6, 2017
TULLETT PREBON FINANCIAL SERVICES LLC
January 3, 2012 - October 8, 2013
BGC FINANCIAL, L.P.
January 4, 2010 - November 9, 2011
LINKBROKERS DERIVATIVES LLC
August 11, 2009 - December 14, 2009
TULLETT PREBON FINANCIAL SERVICES LLC
July 2, 2002 - January 11, 2010
PREBON FINANCIAL PRODUCTS 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
Series 55
Date: 3/31/2003
Limited Representative-Equity Trader ExamCurrent Firm
XP INVESTMENTS US, LLC
CRD#: 156691 / SEC#: , 8-68817
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| XP HOLDING INTERNATIONAL, LLC | PARENT COMPANY | |
| COSTA, JOSE EDUARDO | CHIEF EXECUTIVE OFFICER | 4983100 |
| GOMEZ, ADELIA MARIEL | CHIEF OPERATING OFFICER/ PRINCIPAL OPERATIONS OFFICER | 5477182 |
| SINGER, STEVEN FREDERIC | PRINCIPAL FINANCIAL OFFICER | 2360737 |
| WILSON, JARED RYAN | CHIEF COMPLIANCE OFFICER/ AML COMPLIANCE OFFICER | 5322068 |
Disclosures
| Regulatory Event | 3 |
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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