Jeffrey R. Duncan

DUNCAN FINANCIAL MANAGEMENT

SUNSET HILLS, MO 63127

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CRD#: 4656801

Professional summary

Jeffrey Richard Duncan, who also goes by Jeffrey Duncan, is a registered financial advisor currently at DUNCAN FINANCIAL MANAGEMENT, INC. located in Sunset Hills, Missouri.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Jeffrey has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeffrey Duncan

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.

Duncan Financial Management of Florida, Inc; 100% OWNER; START 12/2017; 500 S. Australian Ave #110A, West Palm Beach, FL 33401 Set up for Florida accounting activity of Duncan Financial Management, Inc. INDEPENDENT INSURANCE AGENT; 180HRS/MO; 100HRS/TRADING. 10820 Sunset Office Drive, Sunset Hills, MO 63127 and 500 S. Australian Ave #110A, West Palm Beach, FL 33401

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Richard Duncan'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

September 14, 2009 - Present

DUNCAN FINANCIAL MANAGEMENT, INC.

Office #1: 10820 Sunset Office Drive Suite 210, Sunset Hills, MO 63127Office #2: 500 S. Australian Avenue Suite 110a, West Palm Beach, FL 33401Office #3: 500 S. Australian Avenue #110a, West Palm Beach, FL 33401

RIA

CRD#: 150849

SUNSET HILLS, MO

Past

January 14, 2008 - April 30, 2009

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

SUNSET HILLS, MO

Past

January 14, 2008 - April 30, 2009

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

SUNSET HILLS, MO

Past

April 3, 2006 - December 31, 2007

WELLSTONE SECURITIES, LLC

CRD#: 121559

SUNSET HILLS, MO

Past

August 24, 2005 - April 3, 2006

SIGMA FINANCIAL CORPORATION

CRD#: 14303

ANN ARBOR, MI

Past

May 11, 2005 - August 25, 2005

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

ENGLEWOOD, CO

Past

August 28, 2003 - April 21, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(8/8/2013)

IAR

Illinois
(2/17/2010)

IAR

Missouri
(9/14/2009)

IAR

Texas
(4/7/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/9/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/2/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/27/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DUNCAN FINANCIAL MANAGEMENT, INC.

CRD#: 150849 / SEC#: 801-70390

RIA

Registered Investment Advisory firm - (2/18/2010 Terminated)

Florida

Registered Investment Advisory firm - (8/8/2013 Approved)

Illinois

Registered Investment Advisory firm - (2/17/2010 Approved)

Missouri

Registered Investment Advisory firm - (12/4/2009 Approved)

Texas

Registered Investment Advisory firm - (4/7/2022 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

10820 Sunset Office Drive Suite 210, Sunset Hills, MO 63127

Mailing Address

Phone number

(314) 835-1111

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	768
AUM (Assets Under Management)	$ 10,349,246

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.

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Advisor Monitoring

Firm Stability Insights

Jeffrey R. Duncan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Richard Duncan's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

WELLSTONE SECURITIES, LLC

SIGMA FINANCIAL CORPORATION

GENEOS WEALTH MANAGEMENT, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/9/2009

Series 63

Date: 9/13/2003

Series 7

Date: 9/2/2008

Series 6

Date: 8/27/2003

Current Firm

DUNCAN FINANCIAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DUNCAN FINANCIAL MANAGEMENT, INC.

TRUST BUT VERIFY

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