Katie J. Duncan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Katie Jo Duncan, who also goes by Kate Duncan, Kate Duncan, Katie Duncan, was a registered financial professional .
Katie is a previously registered financial professional and started their career in finance in 2018. Katie had worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2023 - July 1, 2025
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC
October 13, 2020 - October 12, 2022
EMPOWER ADVISORY GROUP, LLC
August 27, 2018 - October 12, 2022
EMPOWER FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC
CRD#: 288641 / SEC#: 801-123758
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 7/10/2020
General Securities Representative ExaminationCurrent Firm
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC
CRD#: 288641 / SEC#: 801-123758
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,953 |
| AUM (Assets Under Management) | $ 815,418,771 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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