Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Duane? Claim Your ProfileDuane Mattson is a financial professional with over 27 years of experience in the financial services industry. Duane currently works with Capital Client Group, Inc. Duane's career includes previous roles at Lion Street Financial, LLC, PIMCO INVESTMENTS LLC, DFA SECURITIES LLC, NORTHERN LIGHTS DISTRIBUTORS, LLC, QUASAR DISTRIBUTORS, LLC, VICTORY CAPITAL ADVISERS, INC., NFP SECURITIES, INC., CHASE INVESTMENT SERVICES CORP., THRIVENT INVESTMENT MANAGEMENT INC., and LUTHERAN BROTHERHOOD SECURITIES CORP. Duane has earned several licenses and passed several examinations including the Series 66, Series 63, Series 51, Series 24, SIE, Series 7, and Series 6 exams. Duane is registered with the following states: California, North Dakota, 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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
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2
TX
08/21/2022 - Present
Capital Client Group, Inc. (SAN ANTONIO TX)
TX
01/04/2021 - 07/07/2022
LION STREET FINANCIAL, LLC (AUSTIN TX)
TX
10/16/2018 - 10/30/2020
PIMCO INVESTMENTS LLC (Austin TX)
TX
05/17/2012 - 10/10/2018
DFA SECURITIES LLC (AUSTIN TX)
NE
12/05/2011 - 04/30/2012
NORTHERN LIGHTS DISTRIBUTORS, LLC (ELKHORN NE)
ME
04/07/2010 - 11/30/2011
QUASAR DISTRIBUTORS, LLC (PORTLAND ME)
TX
07/17/2008 - 08/04/2009
VICTORY CAPITAL ADVISERS, INC. (AUSTIN TX)
TX
10/26/2004 - 04/17/2008
NFP SECURITIES, INC. (AUSTIN TX)
IL
03/22/2004 - 08/25/2004
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
TX
06/23/2003 - 03/17/2004
NFP SECURITIES, INC. (AUSTIN TX)
MN
07/01/2002 - 12/31/2002
THRIVENT INVESTMENT MANAGEMENT INC. (MINNEAPOLIS MN)
MN
01/28/1994 - 07/01/2002
LUTHERAN BROTHERHOOD SECURITIES CORP. (MINNEAPOLIS MN)
BOTH
Issued 09/27/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/27/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/13/2004
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 02/17/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/27/1998
Series 7 - General Securities Representative Examination
BC
Issued 01/27/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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