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DM

Duncan M. Morrow

FROST INVESTMENT SERVICES
DALLAS, TX 75201
Some features on this profile are disabled
CRD#: 5934646
DM

Professional summary

Duncan Matthew Morrow, who also goes by Duncan M Morrow, Duncan Morrow, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Dallas, Texas and FROST BROKERAGE SERVICES, INC. located in Dallas, Texas.

Duncan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Duncan has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 50, Series 7, Series 54 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Duncan M Morrow | Duncan Morrow

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.
Officer for Frost Bank's Capital Markets, 111 W Houston St., San Antonio, TX 78205. Investment-related. Started Sept. 2014, 16 hrs/month. Provide advice to or on behalf of a municipal entity or obligated person with respect to municipal financial products or the issuance of municipal securities, including advice with respect to the structure, timing, terms, and other similar matters concerning such financial products or issues. Solicits a municipal entity, for compensation, on behalf of an unaffiliated municipal securities dealer, municipal adviser, or investment adviser to engage such party in connection with municipal financial products, the issuance of municipal securities or investment advisory services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Duncan Matthew Morrow'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

May 24, 2022 - Present

FROST INVESTMENT SERVICES

Office #1: 2950 N Harwood, Dallas, TX 75201Office #2: 111 West Houston Street, San Antonio, TX 78205
RIA
CRD#: 286129
DALLAS, TX
Current

September 2, 2014 - Present

FROST BROKERAGE SERVICES, INC.

Office #1: 2950 N Harwood, Dallas, TX 75201
BD
CRD#: 17465
Dallas, TX
Past

February 22, 2012 - June 13, 2014

HILLTOP SECURITIES INC.

BD
CRD#: 6220
SAN ANTONIO, TX
Past

June 14, 2011 - February 17, 2012

FROST BROKERAGE SERVICES, INC.

BD
CRD#: 17465
SAN ANTONIO, TX

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".
FI
FROST INVESTMENT SERVICES
FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA
Registered Investment Advisory firm - (1/3/2017 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(9/2/2014)
IAR
Texas
(5/24/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/18/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 1/28/2016
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 6/13/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 54
Date: 5/23/2019
Municipal Advisor Principal Qualification Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/6/2017
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FI
FROST INVESTMENT SERVICES
FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA
Registered Investment Advisory firm - (1/3/2017 Approved)
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Contact information

Main Address
111 West Houston Street, San Antonio, TX 78205
Mailing Address
Po Box 2538, San Antonio, TX 78299
Phone number
(210) 220-5000
Established
Firm type
Fiscal year end
# of Employees
177

SEC notice filing (28 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

FIS FORM ADV PART 2A 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts3,179
AUM (Assets Under Management)$ 2,976,654,932

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/10/2024
Cover Page
Report
11/27/2023
Cover Page
Report
12/21/2022
Cover Page
Report

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

FROST INVESTMENT SERVICES

CRD#: 286129Dallas, TX 75201

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