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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2026-05-15
TX RA APPROVED_RES 2026-03-24
NJ RA APPROVED 2002-07-30
  • ME RA
    APPROVED
    Since 2026-05-15
  • TX RA
    APPROVED_RES
    Since 2026-03-24
  • NJ RA
    APPROVED
    Since 2002-07-30

Branch Locations

Rangeley, ME • United States

6 Prospect Street Suite 3C, Midland Park, NJ 07432 • United States

Allendale, NJ • United States

Duncan Financial Group, Llc

6 Prospect Street Suite 3-C, Midland Park, NJ 07432 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2004-08-16
  • NJ RA
    APPROVED
    Since 2004-08-16

Branch Locations

1200 East Ridgewood Avenue Suite 330W, Ridgewood, NJ 07450 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Commonwealth Financial Network Waltham MA 02/2002 Present
Dfg, Llc Ridgewood NJ 07/1998 Present
Previous Registrations
  • 2003-01-27 → 2004-07-22
    Dfg Advisors, Inc.
    Ridgewood, NJ
Other Businesses

1. Owner and Investment Advisor Representative ("IAR), Duncan Financial Group, LLC, a Registered Investment Adviser ("RIA") offering financial planning and consulting services; Conducted at branch; Investment related. 2. Fixed insurance sales, as an Agent, under the name 'Duncan Financial Group, LLC'; Conducted at branch; Investment related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-10-28
S63 Uniform Securities Agent State Law Examination 1996-12-30
  • S66 Uniform Combined State Law Examination
    2002-10-28
  • S63 Uniform Securities Agent State Law Examination
    1996-12-30

View on SEC IAPD

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