Charles Duncan, financial advisor Long Beach CA
86 score

Charles Duncan

CRD Number: 1840053
Current Firm: Securities America Advisors, Inc.

Charles Duncan (CRD# 1840053) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Long Beach, CA and has over 18 years of experience in the finance industry. Charles Duncan has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

Similar Advisors
Jeffrey Tilson, financial advisor Long Beach CA
Jeffrey S. Tilson
CRD# 4504995
Jst Investment Consulting
Score
105
Similar Advisors
David Fried, financial advisor Long Beach CA
David R. Fried
CRD# 2753945
Fried Asset Management, Inc.
Score
104
Similar Advisors
Morris Amiri, financial advisor Long Beach CA
Morris M. Amiri
CRD# 4266581
Dash Investments
Score
103
Professional Designations
Company Name Location Dates Years
Securities America Advisors Carlsbad, CA Aug 2015 - Current 1
Duncan Investment Advisors, Inc. Carlsbad, CA Jan 2011 - Current 5
Securities America, Inc. Omaha, NE Aug 1999 - Current 17
Duncan Financial Carlsbad, CA May 1986 - Current 30
Securities America Advisors, Inc. Carlsbad, CA Sep 2006 - Mar 2011 4
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jun 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Charles G. Duncan
Phone Number: 402-399-9111
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    13,433
    MILLIONS
  • Total Number of Accounts
    92,356
    ACCOUNTS
  • Average Account Value
    $145,443
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from Charles Duncan and other advisors.
BADGES
86

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.