Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Duncan is a registered investment advisor representative with Wells Fargo Clearing Services, LLC. Adam has been working in the financial services industry since 2019 and has passed the Series 7, Series 66, and SIE exams. Before joining Wells Fargo Clearing Services, Adam worked at SoFi Securities LLC and Fidelity Brokerage Services LLC. Adam is based in Salt Lake City, UT and works with individuals, businesses, corporations, high net worth individuals, insurance companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Adam's areas of expertise include investment consulting services to institutional clients, financial planning, pension consulting, portfolio management for businesses, and portfolio management for individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
UT
01/24/2023 - Present
Wells Fargo Clearing Services, LLC (SALT LAKE CITY UT)
UT
04/22/2021 - 03/21/2022
SOFI SECURITIES LLC (Cottonwood Heights UT)
UT
06/03/2019 - 04/16/2021
FIDELITY BROKERAGE SERVICES LLC (AMERICAN FORK UT)
BOTH
Issued 08/20/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/03/2019
Series 7TO - General Securities Representative Examination
BC
Issued 06/02/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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