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Duncan Williams Asset Management, LLC CRD 174809
$2.69B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
5350 Poplar Avenue Suite 600, Memphis, TN 38119 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2024-06-14 |
Branch Locations
5350 Poplar Avenue Suite 600, Memphis, TN 38119 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Professional Golfer | Germantown | TN | 08/2013 | 06/2018 |
| B.RIley Wealth Management | Memphis | TN | 07/2018 | 06/2024 |
| B. Riley Wealth Advisors, Inc. | Memphis | TN | 07/2022 | 06/2024 |
| Duncan Williams Asset Management Dba Hays Financial Group | Memphis | TN | 06/2024 | Present |
| M.S. Howells & Co. | Scottsdale | AZ | 07/2024 | Present |
1.) Duncan Williams Asset Management DBA Hays Financial Group; Investment-Related; 5350 Poplar Ave #600 Memphis, TN 38119; Financial Advisor at RIA Firm; Start Date: 6/14/2024; 160 hours devoted monthly; 160 hours devoted monthly during trading hours; Manage client assets and 401K plans 2.) Hays Financial Group; Investment-Related; 5350 Poplar Ave #600 Memphis, TN 38119; Team DBA; Vice President; Start Date: 8/1/2018; 160 hours devoted monthly; 160 hours devoted monthly during trading hours; Financial Advisor 3.) Evangelical Christian School; Not Investment Related; 7600 Macon Road, Cordova, TN 38018; Varsity Golf Coach; Start Date: 8/1/2019; 50 hours devoted monthly; 2 hours devoted monthly during trading hours; Coach of golf team 4.) Fellowship of Christian Athletes; Not Investment-Related; 2005 E. Winchester Blvd, Collierville, TN 38017; Board Memeber; Start Date: 1/1/2021; 2 hours devoted monthly; 0 hours devoted during trading hours; Board Member 5.) M.S. Howells and Co.; Investment-Related; 23350 N Pima Rd, Scottsdale, AZ 85255; Broker Dealer; Independent Contractor; Start Date: 6/2024; 160 hours devoted monthly; 160 hours devoted monthly during trading hours; Financial Advisor, Insurance and Annuity Business
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-27 |
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