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JD

Joseph L. Duran

WINCAP FINANCIAL
FORT COLLINS, CO 80528
Some features on this profile are disabled
CRD#: 5422057
JD

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.
The advisor shows no other business activity.

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

Office #1: 2580 E Harmony Road Suite 301, Fort Collins, CO 80528
RIA
CRD#: 315798
FORT COLLINS, CO
Past

February 24, 2025 - June 23, 2025

SYNERGY CAPITAL

RIA
CRD#: 334117
FORT COLLINS, CO
Past

January 2, 2024 - March 3, 2025

MOORS & CABOT, INC.

RIA
CRD#: 594
Fort Collins, CO
Past

January 2, 2024 - March 3, 2025

MOORS & CABOT, INC.

BD
CRD#: 594
Fort Collins, CO
Past

January 4, 2021 - December 31, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
Fort Collins, CO
Past

January 4, 2021 - December 31, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
FORT COLLINS, CO
Past

March 1, 2019 - December 31, 2020

WOODBURY FINANCIAL SERVICES, INC.

RIA
CRD#: 421
FORT COLLINS, CO
Past

March 1, 2019 - December 31, 2020

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
FORT COLLINS, CO
Past

September 21, 2018 - March 1, 2019

QUESTAR ASSET MANAGEMENT, INC.

RIA
CRD#: 133358
GREELEY, CO
Past

September 21, 2018 - March 1, 2019

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
GREELEY, CO
Past

June 27, 2014 - October 2, 2018

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
FORT COLLINS, CO
Past

June 27, 2014 - October 2, 2018

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
FORT COLLINS, CO
Past

April 19, 2010 - January 23, 2013

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
FORT COLLINS, CO
Past

July 29, 2009 - January 23, 2013

UBS FINANCIAL SERVICES INC.

BD
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".
WF
WINCAP FINANCIAL LLC
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)

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)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/17/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/2009
General Securities Representative Examination

Current Firm

WF
WINCAP FINANCIAL LLC
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
5

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts466
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.

Company Information

WINCAP FINANCIAL LLC

CRD#: 315798Fort Collins, CO 80528

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