James Francis Gillen

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

• 01/2016 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 01/2016 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 12/2020 → Present
  Duncan Financial Planning Advisors
  Irwin, PA

Previous Registrations

• 2006-11-10 → 2015-09-10
  Msi Financial Services, Inc.
  West Chicago, IL
  Somerset, NJ
  St. Louis, MO
  South Elgin, IL
  St. Charles, IL
  Milwaukee, WI
  St. Louis, MO
  Somerset, NJ
  Elgin, IL
  Chicago, IL
  St. Charles, IL
  Downers Grove, IL
  Downers Grove, IL
  Charlotte, NC
  Downers Grove, IL
  Charlotte, NC
• 2005-08-08 → 2006-06-16
  Usallianz Securities, Inc.
  Wet Dundee, IL
  Elgin, IL
  Oakbrook, IL
• 2003-11-21 → 2005-04-19
  Pruco Securities, Llc.
  Rosemont, IL

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 01/2016, AS INVESTMENT ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 160 HR/MO TRADING. 2) RETIREMENT PLAN TEAM, INC, 316 DUNHAM PLACE COMMONS, ST CHARLES, IL, 02/2019, OWNER, DBA, INV REL, 160 HR/MO, 24 HR/MO TRADING. 3) RETIREMENT PLAN TEAM, INC, 24635 Ridge Road, Colona IL 61241, United States, 09/29/2020, President, TPA/Pension Services, NIR, (4) HR/MO - (0) HR/MO TRADING 4) Duncan Financial Planning Advisors, 24635 Ridge Road, Colona IL 61241, 04/2026, Investment Advisor Representative, RIA affiliation (other than CIRA), NIR, 6 HR/MO, 0 HR/MO TRADING

Exams

• S66 Uniform Combined State Law Examination
  2003-03-28

Other Names

• James F Gillen
• Jim Gillen