Gregg Julian Waller

Employer firm

Duncan Financial Planning Advisors CRD 309454

3 advisory clients

Reported services (Item 5G)

• Financial planning
• THIRD PARTY SOLICITOR AND THIRD PARTY SOLICITOR SUPERVISOR

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2016 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 03/2016 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 02/2021 → Present
  Duncan Financial Planning Advisors
  Laguna Niguel, CA

Previous Registrations

• 2020-12-18 → 2020-12-31
  Duncan Financial Planning Advisors
  Nashville, TN
• 2014-11-17 → 2016-01-09
  Osaic Services, Inc.
  Nashville, TN
• 2013-01-16 → 2014-10-15
  Waddell & Reed
  Nashville, TN
• 2004-01-28 → 2004-10-15
  Osaic Fs, Inc.
  Brentwood , TN

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, AS ADVISORY REP OF A RIA. INV REL, 20/WK 15/TRADING, 03/2016 2) GREGG WALLER, 150 FOURTH AVE N STE 1610 NASHVILLE TN, 02/2016, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 15/WK 15/TRADING 3) DUNCAN FINANCIAL PLANNING ADVISORS, 311 MAIN STREET IRWIN PA, ADV REP OF A REGISTERED INVEST ADVISOR, 12/2020, INV REL, 2 HR/WK 2 HW/WK TRADING 4) GREGG WALLER, 3312 WEATHERSTONE COVE E ANTIOCH TN, 01/22/2024, AGENT, TRAVEL/TRANSPORTATION SERVICES, NIR, 80 HR/MO 10 HR/MO TRADING 5) NASHVILLE PRIVATE WEALTH MANAGEMENT, 3312 WEATHERSTONE COVE E ANTIOCH TN, 01/2024, VICE PRESIDENT, DBA, INV REL, 160 HR/MO 160 HR/MO TRADING

Exams

• S66 Uniform Combined State Law Examination
  2013-01-15
• S63 Uniform Securities Agent State Law Examination
  2002-01-31

Other Names

• Gregg J Waller