Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Cliff Duncan is a financial professional with over 20 years of experience in the industry. Charles is currently registered with Cantor Fitzgerald & Co. in New York, NY. Previously, Charles has been employed by Piper Jaffray & Co., JMP Securities LLC, Dresdner Kleinwort Wasserstein Securities LLC, Prudential Securities Incorporated, Tucker Anthony Incorporated, and Chatfield Dean & Co., Inc. Charles is a Series 7, 24, 63, 86, and 87 licensed professional and holds the SIE designation. Charles holds active licenses in Arizona, California, Colorado, Florida, Illinois, Massachusetts, New York, and Texas.
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.
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.
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2
NY
07/16/2018 - Present
Cantor Fitzgerald & Co. (NEW YORK NY)
NY
12/13/2012 - 07/02/2018
PIPER JAFFRAY & CO. (NEW YORK NY)
NY
11/22/2002 - 12/10/2012
JMP SECURITIES LLC (NEW YORK NY)
NY
09/20/2001 - 10/01/2002
DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC (NEW YORK NY)
NY
12/13/2000 - 08/06/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MA
11/01/1999 - 08/09/2000
TUCKER ANTHONY INCORPORATED (BOSTON MA)
WI
11/03/1998 - 11/01/1999
TUCKER ANTHONY CLEARY GULL (MILWAUKEE WI)
CO
07/03/1997 - 05/22/1998
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
BC
Issued 07/03/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/31/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 12/23/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 07/02/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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