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Stephen Allen Duck

Stephen A. Duck

G. ALLEN FINANCIAL
Santa Fe, NM 87501
Some features on this profile are disabled
CRD#: 5294136
Stephen Allen Duck

Professional summary

Stephen Allen Duck, CFP®, who also goes by Stephen Duck, is a registered financial advisor currently at G. ALLEN FINANCIAL INC. located in Santa Fe, New Mexico.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Stephen has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Stephen Duck

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Allen Duck'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®
CFP®

Certified Financial Planner

Start date: 2015

Experience

Current

August 13, 2015 - Present

G. ALLEN FINANCIAL INC.

Office #1: 300 Paseo De Peralta Suite 209, Santa Fe, NM 87501
RIA
CRD#: 119180
Santa Fe, NM

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
California
(8/13/2015)
IAR
New Mexico
(8/13/2015)

Exams

Current Firm

GA
G. ALLEN FINANCIAL INC.
G ALLEN FINANCIAL SERVICES | GARY ALLEN DUCK | G. ALLEN FINANCIAL SERVICES | G. ALLEN FINANCIAL INC. | G. ALLEN FINANCIAL

CRD#: 119180 / SEC#:

California
Registered Investment Advisory firm - (9/16/2002 Approved)
New Mexico
Registered Investment Advisory firm - (6/7/2013 Approved)
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Contact information

Main Address
300 Paseo De Peralta Suite 209, Santa Fe, NM 87501
Mailing Address
Phone number
(505) 466-3550
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts140
AUM (Assets Under Management)$ 101,000,000

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.

Company Information

G. ALLEN FINANCIAL INC.

CRD#: 119180Santa Fe, NM 87501

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