Unclaimed
Gary Duncan is an active investment advisor representative with Morgan Stanley. Gary has been in the industry since 1999, and has held various positions at a number of firms. Gary currently holds licenses in California and Texas. Gary's experience includes working at firms such as UBS Financial Services Inc., WM Financial Services, Inc. and Baraban Securities, Inc. Gary is a licensed securities principal and a licensed investment advisor. Gary is registered with the following securities exchanges: FINRA, MSRB, and the Securities Industry Essentials Examination. Gary specializes in asset allocation advice, financial planning, and portfolio management. Gary also offers educational seminars and selection of other advisors. Gary is a sole proprietor of a rental house business in Chico, California.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
03/19/2020 - Present
Morgan Stanley (Chico CA)
CA
12/05/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CHICO CA)
CA
05/07/2001 - 12/16/2008
UBS FINANCIAL SERVICES INC. (CHICO CA)
CA
12/22/1999 - 05/29/2001
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NA
04/07/1994 - 08/25/1994
BARABAN SECURITIES, INC.
NA
07/19/1984 - 07/27/1984
EMMETT A LARKIN COMPANY, INC.
NA
02/16/1984 - 05/30/1984
PRUDENTIAL-BACHE SECURITIES INC.
NA
11/25/1983 - 02/17/1984
BECKMAN & CO., INC.
IA
Issued 06/29/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/05/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/10/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/10/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 12/21/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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