Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Duane? Claim Your ProfileDuane Smith is a financial advisor with Momentum Independent Network Inc. Duane has been in the financial industry since 1995 and is registered in Arizona, California, Colorado, Idaho, Kansas, Michigan, Ohio, Oklahoma, Utah, and Washington. Duane has been a financial advisor with Momentum Independent Network Inc. since 2023. Prior to that, Duane worked for NTB FINANCIAL CORPORATION, STIFEL, NICOLAUS & COMPANY, INCORPORATED, and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Duane offers financial planning, portfolio management for individuals, and educational seminars.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
CO
01/18/2023 - Present
Momentum Independent Network Inc. (Englewood CO)
CO
03/24/2014 - 12/31/2022
NTB FINANCIAL CORPORATION (CENTENNIAL CO)
CO
08/29/2008 - 03/24/2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED (GREENWOOD VILLAGE CO)
CO
06/07/1995 - 09/05/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ENGLEWOOD CO)
IA
Issued 06/29/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/24/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/19/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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