Joseph L. Duran

WINCAP FINANCIAL LLC

FORT COLLINS, CO

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CRD#: 5422057

Professional summary

Joseph L. Duran, who also goes by Joseph Louis Duran, Joseph Duran, is a registered financial advisor currently at WINCAP FINANCIAL LLC located in Fort Collins, Colorado.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Joseph has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Louis Duran | Joseph Duran

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.

1) Licensed insurance agent; Not investment-related; Fort Collins, CO, 80528; Insurance sales; Implementation of insurance recommendations; 5 hours per month, 0 during trading hours: Licensed insurance agent 2) Rental Property; Not investment-related; Fort Collins, CO, 80525; Single family rental property; Landlord; 05/2019; 1 hour per month; 0 during trading hours; Market property for leasing purposes and collect rent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph L. Duran'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

June 20, 2025 - Present

WINCAP FINANCIAL LLC

RIA

CRD#: 315798

FORT COLLINS, CO

Past

February 24, 2025 - June 23, 2025

SYNERGY CAPITAL

RIA

CRD#: 8174

FORT COLLINS, CO

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".

WINCAP FINANCIAL LLC

CRD#: 315798 / SEC#: 801-131123

RIA

Registered Investment Advisory firm - (9/13/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (9/30/2024 Terminated)

New Hampshire

Registered Investment Advisory firm - (10/3/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (9/30/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/30/2024 Terminated)

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).

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

Colorado
(6/20/2025)

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 66

Date: 4/17/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/2009

General Securities Representative Examination

Current Firm

WINCAP FINANCIAL LLC

CRD#: 315798 / SEC#: 801-131123

RIA

Registered Investment Advisory firm - (9/13/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (9/30/2024 Terminated)

New Hampshire

Registered Investment Advisory firm - (10/3/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (9/30/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/30/2024 Terminated)

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Contact information

Main Address

55 Union Street, Boston, MA 02108

Mailing Address

Phone number

(617) 590-3250

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WINCAP FINANCIAL DISCLOSURE BROCHURE (6/23/2025)

Regulatory assets under management

Total Number of Accounts	466
AUM (Assets Under Management)	$ 153,250,285

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

Joseph L. Duran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph L. Duran's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYNERGY CAPITAL

MOORS & CABOT, INC.

MOORS & CABOT, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

WINCAP FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/17/2010

SIE

Date: 10/1/2018

Series 7

Date: 7/28/2009

Current Firm

WINCAP FINANCIAL LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINCAP FINANCIAL LLC

TRUST BUT VERIFY

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