William James Duncan

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2024-10-25
TX	RA	APPROVED_RES	2024-10-23

IL RA
APPROVED

Since 2024-10-25
TX RA
APPROVED_RES

Since 2024-10-23

Branch Locations

5 Revere Drive 1 Northbrook Place, Northbrook, IL 60062 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Deerfield	IL	11/2012	10/2024
Ubs Financial Services	Northbrook	IL	10/2024	Present

11/2012 → 10/2024

Ameriprise Financial Services, Inc.

Deerfield, IL
10/2024 → Present

Ubs Financial Services

Northbrook, IL

Previous Registrations

2012-11-16 → 2024-10-25

Ameriprise Financial Services, Llc

Deerfield, IL

Glencoe, IL
2009-06-01 → 2012-11-20

Morgan Stanley

Deerfield, IL
2005-06-21 → 2009-06-01

Citigroup Global Markets Inc.

Deerfield, IL

Deerfield, IL

Highland Park, IL

Highland Park, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-06-16
S63	Uniform Securities Agent State Law Examination	1996-03-07

S66 Uniform Combined State Law Examination

2005-06-16
S63 Uniform Securities Agent State Law Examination

1996-03-07

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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