John N. Duncan
LPL ENTERPRISE | Planning Consultant
Indianapolis, IN 46240
Some features on this profile are disabled
CRD#: 7194062
Professional summary
John Nelson Duncan, who also goes by John N Duncan, John Duncan, John Nelson Duncan-harris, John Duncan-harris, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Indianapolis, Indiana.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. John has worked at 10 firms and has passed the Series 66, Series 7TO and SIE exams.
Biography
As a Planning Consultant I work with a team to provide a strategy for each client's unique situation. This role requires me to listen and ask thoughtful questions to better understand my client's needs. Then I personally work my clients through the process of implementing their plan and continue to work with them through their planning to make any adjustments along the way. I came into Finance in the Fall of 2019. Since then, I have seen the direct impact of how proper planning can work.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John N Duncan | John Duncan | John Nelson Duncan-Harris | John Duncan-Harris
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) 08/05/2025 - Prudential Advisors DBA for LPL Business (entity for LPL business) - Financial Professional - 160 hrs/mth - Indianapolis, IN - Investment Related - Start date 08/05/2025 2) 08/05/2025 - John Duncan N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Financial Professional - 160 hrs/mth - Indianapolis, IN - Investment Related - Start date 08/05/2025
CRS (Client Relationship Summary) - RIA
Click below to view John Nelson Duncan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Nelson Duncan's 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®
NoneEducation
Arizona State University
Master of Global Management - International Business and Management
2019
American Military University
Bachelor of Intelligence - National Security, International Relations
2016
Experience
Current
August 18, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 8888 Keystone Crossing Suite 500, Indianapolis, IN 46240RIA
BD
CRD#: 8733
Indianapolis, IN
Current
August 18, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 8888 Keystone Crossing Suite 500, Indianapolis, IN 46240RIA
BD
CRD#: 8733
Indianapolis, IN
Past
May 9, 2025 - July 24, 2025
LARSON FINANCIAL GROUP, LLC
RIA
CRD#: 140599
Indianapolis, IN
Past
May 9, 2025 - July 24, 2025
LARSON FINANCIAL SECURITIES, LLC
BD
CRD#: 152517
Indianapolis, IN
Past
July 24, 2024 - May 5, 2025
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
Indianapolis, IN
Past
July 10, 2024 - May 5, 2025
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
HARRISON, NY
Past
April 26, 2024 - June 3, 2024
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
Tuscon, AZ
Past
April 22, 2024 - June 3, 2024
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
TUCSON, AZ
Past
August 4, 2022 - February 29, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
TUCSON, AZ
Past
July 27, 2022 - February 29, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
TUCSON, AZ
Past
December 4, 2020 - July 9, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
TUCSON, AZ
Past
February 5, 2020 - July 9, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
TUCSON, AZ
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
Indiana(8/18/2025)
IAR
Indiana(8/18/2025)
RR
North Carolina(8/18/2025)
RR
Pennsylvania(8/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/5/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
