Douglas E. Duncan
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.
Douglas E Duncan, who also goes by Ed Duncan, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2009. Douglas had worked at 8 firms and has passed the Series 66, Series 63, SIE 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
September 24, 2018 - June 25, 2019
WORDEN CAPITAL MANAGEMENT LLC
May 8, 2017 - September 26, 2018
PHX FINANCIAL, INC.
July 28, 2016 - May 15, 2017
SCOTTRADE INVESTMENT MANAGEMENT
March 31, 2016 - May 15, 2017
SCOTTRADE, INC.
June 1, 2015 - March 22, 2016
WORDEN CAPITAL MANAGEMENT LLC
April 6, 2015 - June 2, 2015
FOUR POINTS CAPITAL PARTNERS LLC
September 17, 2014 - March 27, 2015
NATIONAL SECURITIES CORPORATION
May 19, 2014 - September 15, 2014
R. SEELAUS & CO., LLC
August 13, 2010 - May 16, 2014
NATIONAL SECURITIES CORPORATION
August 25, 2009 - September 15, 2010
WOODSTOCK FINANCIAL GROUP, 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
WORDEN CAPITAL MANAGEMENT LLC
CRD#: 148366 / SEC#: , 8-68010
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 12 |
Red Flags
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