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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam James Duncan is a financial advisor with over 25 years of experience in the financial services industry. William James Duncan has a diverse background, having worked for several firms including Morgan Stanley, Citigroup Global Markets Inc., U.S. Bancorp Investments, Inc., Firstar Investment Services, Inc., Dean Witter Reynolds Inc., and Chatfield Dean & Co., Inc. Currently, William James Duncan is a registered representative with UBS Financial Services Inc. William James Duncan holds several industry licenses including Series 7, Series 31, Series 63, and Series 66. He is licensed to provide investment advice in multiple states. William James Duncan's expertise lies in providing financial advice to high-net-worth individuals, corporations, and pension and profit-sharing plans. William James Duncan specializes in financial planning, portfolio management, and providing investment guidance for businesses and individuals.
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.
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.
See schedule d - miscellaneous
1
2
IL
10/23/2024 - Present
UBS Financial Services Inc. (NORTHBROOK IL)
IL
06/01/2009 - 11/20/2012
MORGAN STANLEY (DEERFIELD IL)
IL
06/17/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (DEERFIELD IL)
MN
12/01/2001 - 06/17/2005
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
NJ
08/29/1997 - 12/01/2001
FIRSTAR INVESTMENT SERVICES,INC. (MORRIS PLAINS NJ)
NY
02/05/1997 - 07/14/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
CO
04/29/1996 - 11/07/1996
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
BOTH
Issued 06/16/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/07/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 04/26/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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