Duane Smith, financial advisor Englewood CO

Duane Smith

CRD Number: 1031287
Current Firm: Momentum Independent Network Inc.

Duane Smith (CRD# 1031287) is an Investment Advisor Representative working at Momentum Independent Network Inc. in Englewood, CO and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Momentum Independent Network Dallas, TX Jan 2023 - Current 1
Neidiger, Tucker, Bruner, Inc. Englewood, CO Mar 2014 - Jan 2023 8
Stifel Nicolaus & Co Inc. Greenwood Village, CO Aug 2008 - Jan 2023 14
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1995
S65 NASAA Investment Advisors Law Examination Jun 1995
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Duane A. Smith
Phone Number: 214-859-1800
Registered State(s):
  • AZ
  • CA
  • CO
  • ID
  • KS
  • MI
  • OH
  • OK
  • UT
  • WA
By the Numbers
  • Total Assets Under Management
    825
    MILLIONS
  • Total Number of Accounts
    3,028
    ACCOUNTS
  • Average Account Value
    $272,307
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • 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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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