Randall Max Duncan
Professional Summary
Randall Max Duncan is a registered financial advisor currently at R.M. DUNCAN CAPITAL MANAGEMENT CORPORATION located in Little Rock, Arkansas and R.M. DUNCAN SECURITIES, INC. located in Little Rock, Arkansas. Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Randall has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 79TO, Series 57TO, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
R.M. DUNCAN CAPITAL MANAGEMENT CORPORATION
Contact Information
Main Address
10201 W Markham St Suite 219, Little Rock, AR 72205Phone Number
(501) 280-0200# of Employees
2Documents
Regulatory Assets Under Management
Total Number of Accounts
28AUM (Assets Under Management)
$13,315,010Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(11/19/2024)
(2/9/1990)
(9/26/1995)
(3/10/1993)
(3/2/2022)
(2/25/2003)
(7/20/1993)
(11/2/2001)
(11/27/2024)
(10/3/2007)
(6/6/1994)
(11/20/2024)
(4/6/2006)
(3/16/2012)
(7/26/2010)
(12/17/2012)
(11/19/2024)
(5/25/1990)
(5/29/1990)
(1/21/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Dec 1999Series 5 — Interest Rate Options Examination
Passed Sep 1985SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Randall Max Duncan's CRS (Customer Relationship Summary).
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