Darlene S. Duncan

EXPRESSIVE WEALTH LLC

Fairhope, AL

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CRD#: 728362

Professional summary

Darlene Sue Duncan, who also goes by Darlene P Duncan, Darlene Sue Putnam, is a registered financial advisor currently at EXPRESSIVE WEALTH LLC located in Fairhope, Alabama.

Darlene is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Darlene has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 5 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Darlene P Duncan | Darlene Sue Putnam

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) Real Estate Sales Associate. Non-Investment Related. 4458 Legendary Drive, Suite 100, Destin, FL 32541. Real Estate Brokerage, Sales Associate. Start 9/2020. 5hr/mo, not during trading hours. Real Estate sales associate with Coldwell Banker. 2) Independent insurance agent since 09/2012; Destin, FL; investment related; selling insurance products; 5 hrs/mo

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darlene Sue Duncan'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

March 11, 2024 - Present

EXPRESSIVE WEALTH LLC

RIA

CRD#: 329974

Fairhope, AL

Past

January 14, 2016 - July 1, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Destin, FL

Past

April 27, 2015 - July 15, 2024

WEALTHTRUST ASSET MANAGEMENT, LLC

RIA

CRD#: 174901

DESTIN, FL

Past

April 11, 2007 - February 18, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DESTIN, FL

Past

October 1, 1999 - February 18, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DESTIN, FL

Past

August 12, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

May 11, 1993 - December 24, 1996

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

January 1, 1991 - June 25, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 22, 1990 - January 1, 1991

ROTAN MOSLE INC.

CRD#: 727

Past

April 13, 1981 - August 5, 1989

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

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".

EXPRESSIVE WEALTH LLC

CRD#: 329974 / SEC#: 801-129561

RIA

Registered Investment Advisory firm - (2/23/2024 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.

Highlighted states indicate IAR registrations

IAR

Alabama
(8/5/2025)

IAR

Florida
(3/11/2024)

IAR

Texas
(8/28/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/10/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/13/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/12/1999

General Securities Representative Examination

General Industry/Product Exam

Series 5

Date: 3/24/1982

Interest Rate Options Examination

Current Firm

EXPRESSIVE WEALTH LLC

CRD#: 329974 / SEC#: 801-129561

RIA

Registered Investment Advisory firm - (2/23/2024 Approved)

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Contact information

Main Address

6650 N Northwest Hwy Suite 1w, Chicago, IL 60631

Mailing Address

Phone number

(847) 595-8812

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/13/2025)

Regulatory assets under management

Total Number of Accounts	329
AUM (Assets Under Management)	$ 131,082,341

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Darlene S. Duncan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darlene Sue Duncan's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

WEALTHTRUST ASSET MANAGEMENT, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

FIRST UNION CAPITAL MARKETS CORP.

UBS FINANCIAL SERVICES INC.

ROTAN MOSLE INC.

J.J.B. HILLIARD, W.L. LYONS, LLC

Primary Firm SEC Registration

EXPRESSIVE WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/10/2007

Series 63

Date: 8/13/1999

SIE

Date: 10/1/2018

Series 7

Date: 8/12/1999

Series 5

Date: 3/24/1982

Current Firm

EXPRESSIVE WEALTH LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EXPRESSIVE WEALTH LLC

TRUST BUT VERIFY

Contact information

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