William Duncan, financial advisor Louisville KY
93 score

William Duncan

CRD Number: 4536423
Current Firm: Ubs Financial Services Inc.

William Duncan (CRD# 4536423) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Louisville, KY and has over 14 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Louisville, KY Jul 2013 - Current 3
Ubs Financial Services Inc. Louisville, KY May 2002 - Jul 2013 11
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2002
Contact Info for William A. Duncan
Phone Number: 201-352-3000
Registered State(s):
  • KY
  • TX
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
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
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

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

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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