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Duncan M. Varela

SHAREBUILDER 401K
Seattle, WA 98104
Some features on this profile are disabled
CRD#: 7448779
DV

Professional summary

Duncan Macmillan Varela, who also goes by Duncan Varela, is a registered financial advisor currently at SHAREBUILDER 401K located in Seattle, Washington.

Duncan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Duncan has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Duncan Varela

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Duncan Macmillan Varela'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 24, 2022 - Present

SHAREBUILDER 401K

Office #1: 801 Second Ave Suite 1400, Seattle, WA 98104
RIA
CRD#: 300537
Seattle, WA
Past

March 15, 2022 - March 31, 2022

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
KIRKLAND, WA
Past

December 23, 2021 - March 31, 2022

NYLIFE SECURITIES LLC

BD
CRD#: 5167
KIRKLAND, WA

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".
S4
SHAREBUILDER 401K
SHAREBUILDER 401K | SHAREBUILDER ADVISORS, LLC

CRD#: 300537 / SEC#: 801-115195

RIA
Registered Investment Advisory firm - (5/3/2019 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
Washington
(3/24/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/25/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/23/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/22/2021
Securities Industry Essentials Examination

Current Firm

S4
SHAREBUILDER 401K
SHAREBUILDER 401K | SHAREBUILDER ADVISORS, LLC

CRD#: 300537 / SEC#: 801-115195

RIA
Registered Investment Advisory firm - (5/3/2019 Approved)
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Contact information

Main Address
801 Second Ave Suite 1400, Seattle, WA 98104
Mailing Address
801 Second Ave Suite 1400, Seattle, WA 98104
Phone number
(425) 213-9035
Established
Firm type
Fiscal year end
# of Employees
36

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SBA ADVII 2025 (6/3/2025)

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.

Company Information

SHAREBUILDER 401K

CRD#: 300537Seattle, WA 98104

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