Laird D. Duncan

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CRD#: 73238

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.

Laird Douglas Duncan was a registered financial professional .

Laird is a previously registered financial professional and started their career in finance in 1974. Laird had worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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. 3/31/2017 - THE PHILADELPHIA GROUP - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - 180 Hours Per Month/95 Hours During Securities Trading - Time Spent 70%. 2. 10/4/2019 - Independence Square Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/01/2019 - 160 Hours Per During Securities Trading. 3. 1/24/2020 - Independence Square Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 11/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading. 4. 1/24/2020 - Independence Square Holdings, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 11/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through Independence Square Holdings, LLC, an independent investment advisor firm. I started this business activity in 11/2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 21, 2020 - April 24, 2023

INDEPENDENCE SQUARE HOLDINGS, LLC

RIA

CRD#: 300139

KING OF PRUSSIA, PA

Past

April 5, 2017 - January 14, 2020

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

KING OF PRUSSIA, PA

Past

March 31, 2017 - March 3, 2021

LPL FINANCIAL LLC

CRD#: 6413

KING OF PRUSSIA, PA

Past

October 5, 2009 - March 21, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CONSHOHOCKEN, PA

Past

October 5, 2009 - March 21, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CONSHOHOCKEN, PA

Past

August 24, 2007 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

CONSHOHOCKEN, PA

Past

June 30, 2003 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

CONSHOHOCKEN, PA

Past

August 3, 1998 - October 14, 2002

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

March 10, 1998 - August 3, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

January 26, 1994 - March 9, 1998

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

January 13, 1984 - December 23, 1993

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

September 16, 1982 - December 16, 1983

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

Past

January 7, 1974 - February 5, 1981

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

Past

January 7, 1974 - February 5, 1981

OSAIC FA, INC.

CRD#: 3978

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".

INDEPENDENCE SQUARE HOLDINGS, LLC

CRD#: 300139 / SEC#: 801-116750

RIA

Registered Investment Advisory firm - (6/7/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 8/21/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/3/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 1/2/1974

Registered Representative Examination

Current Firm

INDEPENDENCE SQUARE HOLDINGS, LLC

CRD#: 300139 / SEC#: 801-116750

RIA

Registered Investment Advisory firm - (6/7/2019 Approved)

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Contact information

Main Address

150 South Warner Road Suite 300, King Of Prussia, PA 19406

Mailing Address

Phone number

(610) 520-1500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM BROCHURE (3/31/2025)

FORM ADV PART 2A FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,985
AUM (Assets Under Management)	$ 1,488,010,409

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

Laird D. Duncan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRIVATE ADVISOR GROUP, LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

IFMG SECURITIES, INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

NEW ENGLAND SECURITIES

HORNOR, TOWNSEND & KENT, LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

INDEPENDENCE SQUARE HOLDINGS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/21/2007

Series 63

Date: 12/3/1982

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 1/2/1974

Current Firm

INDEPENDENCE SQUARE HOLDINGS, LLC

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEPENDENCE SQUARE HOLDINGS, LLC

TRUST BUT VERIFY

Contact information

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