Alison Dianne Duncan
Professional Summary
Alison Dianne Duncan is a registered financial advisor currently at PMA SECURITIES, LLC located in Naperville, Illinois. Alison is registered as a RR (Registered Representative) and started their career in finance in 2018. Alison has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
8 years in the financial services industry
Current & Past Employments
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Current Firm
ENGLISH CONCEPTS, INC. | PMA SECURITIES, LLC | PMA SECURITIES, INC.
Contact Information
Main Address
2135 Citygate Lane 7th Floor, Naperville, IL 60563Mailing Address
2135 Citygate Lane 7th Floor, Naperville, IL 60563Phone Number
(630) 657-6400Established
Illinois since 03/26/2019Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (23 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(11/28/2018)
(11/19/2018)
(11/28/2018)
(11/28/2018)
(11/15/2019)
(11/28/2018)
(11/28/2018)
(11/28/2018)
(11/28/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 2018About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Alison Dianne Duncan's CRS (Customer Relationship Summary).
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