RD
Randall M. Duncan
R.M. DUNCAN CAPITAL MANAGEMENT
LITTLE ROCK, AR 72205
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CRD#: 873519
RD
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 55, Series 5, Series 3, Series 7, Series 52, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
R.M. DUNCAN CAPITAL MGMT CORP.SENIOR INVESTMENT OFFICER.INVESTMENT RELATED. 10201 W. Markham St, Suite 219, Little Rock, AR 72205. 4/27/95.16 HRS/MONTH. GENERAL PARTNER DUNCAN-LILES FARMS LLC.NON INVESTMENT RELATED.1200 PIONEER RD.SEARCY AR 72143.GROW HAY.OWNER.3/05.1HR/MONTH.NONE DURING TRADING HOURS.RANDALL M. DUNCAN PA INC.NON INVESTMENT RELATED 10201 W. Markham St, Suite 219, Little Rock, AR 72205. LAW PRACTICE.OWNER.1HR/MONTH.NONE DURING TRADING HOURS.6/01/01. EMINENCE GLOBAL HOLDINGS LTD, INVESTMENT RELATED,10201 W. Markham St, Suite 219, Little Rock, AR 72205, HOLDING CO FOR VARIOUS INVESTMENTS, CHAIRMAN AND PRESIDENT, 11/2014, 1 HR/MO 0 DURING TRADING HRS. EMINENCE ENERGY RESOURCES LLC, INVESTMENT RELATED, 10201 W. Markham St, Suite 219, Little Rock, AR 72205, OIL & GAS INVESTMENTS, PRESIDENT & MGR OF OPS, 07/21/2015, 1 HR/MO, 0HRS DURING TRADING HRS. CECJ, LLC 1200 Pioneer Rd. Searcy, AR 72143. Real estate holding company. Not investment related. Manager. 07/23/2018. 1 HR/MO. Zero hrs. during trading hrs. Stuart Street Investors I LP, Partner, 06/2014. 1 HR/MO 0 DURING TRADING HRS, 10201 W. Markham St, Suite 219, Little Rock, AR 72205; Jackson Street Investors LP, Partner, 06/2015. 1 HR/MO 0 DURING TRADING HRS 10201 W. Markham St, Suite 219, Little Rock, AR 72205;
CRS (Client Relationship Summary) - RIA
Click below to view Randall Max 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®
NoneExperience
Current
September 26, 1995 - Present
R.M. DUNCAN CAPITAL MANAGEMENT CORPORATION
Office #1: 501 N. University Ste. 101, Little Rock, AR 72205RIA
CRD#: 116857
LITTLE ROCK, AR
Current
February 8, 1990 - Present
R.M. DUNCAN SECURITIES, INC.
Office #1: 10201 W Markham St, Suite 219, Little Rock, Arkans, Little Rock, AR 72205Office #2: 10201 W Markham St Suite 219, Little Rock, AR 72205BD
CRD#: 14344
LITTLE ROCK, AR
Past
May 8, 1989 - January 25, 1990
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
November 5, 1979 - May 8, 1989
T. J. RANEY & SONS, INC.
BD
CRD#: 3128
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
Alabama(11/19/2024)
RR
Arkansas(2/9/1990)
IAR
Arkansas(9/26/1995)
RR
California(3/10/1993)
IAR
California(3/2/2022)
RR
Florida(2/25/2003)
RR
Georgia(7/20/1993)
RR
Indiana(11/2/2001)
RR
Kentucky(11/27/2024)
RR
Louisiana(10/3/2007)
RR
Michigan(6/6/1994)
RR
Mississippi(11/20/2024)
RR
Missouri(4/6/2006)
RR
New Mexico(3/16/2012)
RR
New York(7/26/2010)
RR
Oklahoma(12/17/2012)
RR
Pennsylvania(11/19/2024)
RR
Tennessee(5/25/1990)
RR
Texas(5/29/1990)
IAR
Texas(9/12/2021)
RR
Virginia(1/21/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/6/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 5
Date: 9/7/1985
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RD
R.M. DUNCAN CAPITAL MANAGEMENT CORPORATION
R.M. DUNCAN CAPITAL MANAGEMENT CORPORATION
CRD#: 116857 / SEC#:
Arkansas
Registered Investment Advisory firm - (9/1/1995 Approved)California
Registered Investment Advisory firm - (3/2/2022 Approved)Texas
Registered Investment Advisory firm - (9/12/2021 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10201 W Markham St Suite 219, Little Rock, AR 72205
Mailing Address
Phone number
(501) 280-0200
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 12,772,095 |
Red Flags
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Company Information
R.M. DUNCAN CAPITAL MANAGEMENT CORPORATION
CRD#: 116857Little Rock, AR 72205TRUST BUT VERIFY
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