Joseph B. Duncan

PINE VALLEY INVESTMENTS

Marlton, NJ 08053

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CRD#: 4945837

Professional summary

Joseph Brian Duncan, who also goes by Joseph B Duncan, is a registered financial advisor currently at PINE VALLEY INVESTMENTS located in Marlton, New Jersey.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Joseph has worked at 3 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph B 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.

OWNER OF REACTION LACROSSE - TEACH KIDS THE BASICS ABOUT LACROSSE. RUN CAMPS AND CLINICS FOR LOCAL TEAMS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Brian Duncan's CRS (Customer Relationship Summary).

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 2, 2015 - Present

PINE VALLEY INVESTMENTS

Office #1: 10 E. Stow Rd. Suite 200, Marlton, NJ 08053

RIA

CRD#: 173995

Marlton, NJ

Past

April 8, 2010 - February 17, 2015

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

GARDEN CITY, NY

Past

January 11, 2006 - October 13, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

October 12, 2005 - October 13, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PINE VALLEY INVESTMENTS

MORAD, HARRY E | PINE VALLEY INVESTMENTS LIMITED LIABILITY COMPANY | PINE VALLEY INVESTMENTS

CRD#: 173995 / SEC#: 801-80742

RIA

Registered Investment Advisory firm - (1/8/2015 Approved)

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

Delaware
(5/16/2019)

IAR

New Jersey
(3/7/2017)

IAR

Texas
(10/17/2018)

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: 12/15/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/30/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/17/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/11/2005

General Securities Representative Examination

Current Firm

PINE VALLEY INVESTMENTS

MORAD, HARRY E | PINE VALLEY INVESTMENTS LIMITED LIABILITY COMPANY | PINE VALLEY INVESTMENTS

CRD#: 173995 / SEC#: 801-80742

RIA

Registered Investment Advisory firm - (1/8/2015 Approved)

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Contact information

Main Address

10 E. Stow Rd. Suite 200, Marlton, NJ 08053

Mailing Address

Phone number

(856) 334-8260

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- PINE VALLEY INVESTMENTS (3/19/2025)

Regulatory assets under management

Total Number of Accounts	5,152
AUM (Assets Under Management)	$ 2,183,420,313

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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Firm Stability Insights

Joseph B. Duncan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Brian Duncan's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAFFERTY CAPITAL MARKETS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PINE VALLEY INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/2016

Series 66

Date: 11/30/2005

SIE

Date: 2/17/2015

Series 7

Date: 10/11/2005

Current Firm

PINE VALLEY INVESTMENTS

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PINE VALLEY INVESTMENTS

TRUST BUT VERIFY

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