Keith Wallace Duncan

Current Employers

Employment History

• 08/2014 → 07/2020
  Investacorp Inc
  Miami, FL
• 08/2014 → 07/2020
  Investacorp Advisory Services
  Miami, FL
• 07/2020 → 06/2024
  Securities America, Inc.
  Great Falls, MT
• 07/2020 → 06/2024
  Securities America Advisors, Inc.
  Great Falls, MT
• 06/2024 → Present
  Osaic Wealth, Inc.
  Helena, MT
• 06/2024 → Present
  Osaic Wealth, Inc.
  Helena, MT

Previous Registrations

• 2020-07-17 → 2024-06-14
  Securities America Advisors, Inc.
  Great Falls, MT
• 2014-08-19 → 2020-07-17
  Investacorp Advisory Services Inc
  Great Fa.LLs, MT
  Helena, MT
• 2003-06-03 → 2014-08-19
  Spc
  Great Falls, MT
  Ann Arbor, MI
  Helena, MT

Other Businesses

KEITH W DUNCAN POSITION: Owner/Agent NATURE: I am licensed to sell insurance products, including Life, Health and Disability insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 10 START DATE: 05/01/1995 ADDRESS: 1601 2nd Ave N; Ste 632, Great Falls MT 59401 DESCRIPTION: Selling and servicing fixed, and equity indexed, life, health, disability and long-term care insurance. KEYSTONE PLANNING GROUP POSITION: IAR Owner NATURE: Investment Advisor Rep INVESTMENT RELATED: Yes NUMBER OF HOURS: 88 SECURITIES TRADING HOURS: 60 START DATE: 06/01/2003 ADDRESS: 1601 2nd Ave N; Ste 632, Great Falls MT 59401 DESCRIPTION: I solicit and manage money for clients. I use the Envestnet platform and select my managers using their tools. HAPPY TAILS LODGE CO. POSITION: Maintenance man NATURE: Full-service pet care, boarding, grooming, daycare, pet transportation, training and retail. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 12/27/2004 ADDRESS: 1401 NW Bypass, Great Falls MT 59404 DESCRIPTION: Happy Tails Lodge Co. Noninvestment related. My wife owns and manages this full-service pet care business. I am an officer and director and work as maintenance man. I have no ownership. DBA - KeyStone Planning Group FINANCIAL EDUCATORS MT POSITION: Instructor/Owner NATURE: Conduct classes on various topics of financial literacy. I am an Adjunct Professor at Helena College U of M. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 02/10/2009 ADDRESS: 1601 2nd Ave N; Ste 632, Great Falls MT 59401 DESCRIPTION: I serve as an adjunct professor at Helena College U of M. I conduct adult continuing education classes on a variety of financial topics. Topics include, the rules surrounding Social Security claiming and ways to enhance Social Security income. Taxes and retirement and ways to generate retirement income while being tax efficient. The health care costs in retirement, understanding Medicare and the insurance products related to Medicare. The importance of estate planning and why everyone needs an estate plan. The importance of having a financial recordkeeping and budgeting system, why it's needed, ideas on how to set it up and understanding the reports. No investment products are EVER discussed, these classes are educational only. The colleges require it be that way and so will Securities America. LIBERTY AND VALUES MT POSITION: Volunteer and chair of the Communication and Engagement Committee NATURE: This is an independent political committee. It has no affiliation with any political party or political candidate. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/17/2023 ADDRESS: 1601 2nd Ave N; Ste 632A, PO Box 6442, Great Falls MT 59406 DESCRIPTION: I will be a board member but not on the Executive Board. My responsibility will be chair of the Communication and Engagement committee. That position will organize and conduct membership recruitment and training, organizing voter registration drives, turnout the vote campaigns, phone banking efforts, and voter information campaigns.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-07
• S63 Uniform Securities Agent State Law Examination
  1997-03-01