Duane BergkampCRD Number: 1923009
Current Firm: Waddell & Reed
Duane Bergkamp (CRD# 1923009) is an Investment Advisor Representative working at Waddell & Reed in Wichita, KS and has over 27 years of experience in the finance industry.
Cambridge Investment Research Advisors, Inc.
Ameriprise Financial Services, Inc.
|Village Charters Inc.||Wichita, KS||Oct 2007 - Current||9|
|Various Insurance Carriers||Wichita, KS||Apr 1989 - Current||27|
|Waddell & Reed, Inc.||Wichita, KS||Feb 1989 - Current||28|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1989|
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:
- Regulatory Event
Total Assets Under Management18,309MILLIONS
Total Number of Accounts149,599ACCOUNTS
Average Account Value$122,387
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, 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, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV