Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Douglas Duff is a registered Investment Advisor Representative with Charles Schwab & CO., Inc. and has been in the industry since 2015. Alan is registered in Colorado and Texas and holds the Series 66, Series 7, SIE, and Series 99TO exams. Alan is a Financial Planner and a Wrap Fee Program Sponsor. Alan is currently associated with Charles Schwab & CO., Inc. in Lone Tree, Colorado.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CO
05/29/2018 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
BOTH
Issued 05/29/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/2015
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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