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Browse financial advisors

Compare investment adviser representatives and registered brokers by experience and registrations — compiled from public SEC and FINRA records.

Showing 24 advisors (page 2+)
DW

Duane Wangler

Texas·CRD #7160468
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
2 yrs
States
2
Exams
3
Since
2024
Est. fee
AUM / Commission / Flat Fee
View profile
DE

Dudley Edward Vickers

Texas·CRD #2501348
IA Rep

Investment Adviser Rep at MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Experience
32 yrs
States
1
Exams
5
Since
1994
Est. fee
AUM / Hourly / Flat Fee / Other
View profile
DM

Dudley Marvin Irwin II

Colorado·CRD #1622162
Dual-registered

Dual-registered at BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.

Experience
39 yrs
States
1
Exams
5
Since
1987
Est. fee
AUM / Commission / Hourly / Flat Fee
Minimum
$25k
View profile
DG

Duff G Freeman

North Carolina·CRD #1060808
IA Rep

Investment Adviser Rep at OSAIC WEALTH, INC.

Experience
43 yrs
States
1
Exams
4
Since
1983
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile
DN

Dufresne Nicolas

New York·CRD #2244992
Dual-registered

Dual-registered at HSBC SECURITIES (USA) INC.

Experience
32 yrs
States
1
Exams
6
Since
1994
Est. fee
AUM / Flat Fee / Performance-based
Minimum
$50k
View profile
DJ

Dugan John McLaughlin

Tennessee·CRD #1018511
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
45 yrs
States
2
Exams
7
Since
1981
Est. fee
AUM / Commission / Flat Fee
View profile
DZ

Dujuan Zhou

California·CRD #7474837
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
4 yrs
States
2
Exams
3
Since
2022
Est. fee
AUM / Commission / Flat Fee
View profile
DT

Dukalion Tsapalas

New York·CRD #7638816
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
3 yrs
States
2
Exams
4
Since
2023
Est. fee
AUM / Commission / Flat Fee
View profile
DL

Duke Lenaghan

Connecticut·CRD #6950928
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
4 yrs
States
1
Exams
4
Since
2022
Est. fee
AUM / Commission / Flat Fee
View profile
DM

Duke Michael Smith

Illinois·CRD #6906194
IA Rep

Investment Adviser Rep at ALPHASTAR CAPITAL MANAGEMENT

Experience
8 yrs
States
2
Exams
1
Since
2018
Est. fee
AUM / Hourly / Flat Fee
View profile
DE

Duncan Eng

California·CRD #2536048
Dual-registered

Dual-registered at OSAIC WEALTH, INC.

Experience
32 yrs
States
2
Exams
5
Since
1994
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile
DG

Duncan Geoffrey Harp

Rhode Island·CRD #7056517
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
7 yrs
States
2
Exams
5
Since
2019
Est. fee
AUM / Commission / Flat Fee
View profile
DJ

Duncan J Marshall

Rhode Island·CRD #7655950
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
4 yrs
States
2
Exams
3
Since
2022
Est. fee
AUM / Commission / Flat Fee
View profile
DP

Duncan Pray

Louisiana·CRD #7384213
IA Rep

Investment Adviser Rep at RETIREMENT PLAN ADVISORS, LLC

Experience
4 yrs
States
2
Exams
4
Since
2022
Est. fee
AUM / Hourly / Flat Fee
Minimum
$25k
View profile
DR

Duncan Ronald Peightal

Texas·CRD #8259492
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

States
1
Exams
3
Since
2026
Est. fee
AUM / Commission / Flat Fee
View profile
DL

Dung Le

California·CRD #6663044
Dual-registered

Dual-registered at U.S. BANCORP ADVISORS, LLC

Experience
10 yrs
States
1
Exams
5
Since
2016
Fee
AUM / Other
View profile
DL

Dung Le Tran

Washington·CRD #8179394
IA Rep

Investment Adviser Rep at INTEGRATED QUANTITATIVE INVESTMENTS LLC

Experience
1 yrs
States
1
Exams
1
Since
2025
Est. fee
AUM
View profile
DQ

Du Quang Lu

California·CRD #3235818
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
26 yrs
States
4
Exams
3
Since
2000
Est. fee
AUM / Commission / Flat Fee
View profile
DB

Duran B Dismore

Illinois·CRD #4843073
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
22 yrs
States
2
Exams
6
Since
2004
Est. fee
AUM / Commission / Flat Fee
View profile
DC

Duran Cahill Bunch

Tennessee·CRD #7221024
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
6 yrs
States
2
Exams
3
Since
2020
Est. fee
AUM / Commission / Flat Fee
View profile
DT

Duray Timothy Taylor

Maryland·CRD #5013045
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
20 yrs
States
3
Exams
5
Since
2006
Est. fee
AUM / Commission / Flat Fee
View profile
DC

Durema C Bacchus

Georgia·CRD #5972817
IA Rep

Investment Adviser Rep at KOVACK ADVISORS, INC.

Experience
10 yrs
States
1
Exams
5
Since
2016
Est. fee
AUM / Hourly / Flat Fee / Other
Minimum
$10k
View profile
DL

Durene Lenis Wilhelmi

California·CRD #7391593
IA Rep

Investment Adviser Rep at WEALTHSPIRE RETIREMENT ADVISORY

Experience
5 yrs
States
2
Exams
1
Since
2021
Est. fee
AUM / Hourly / Flat Fee
Minimum
$25k
View profile
DS

Durga Shankar Boggavarapu

Connecticut·CRD #6936305
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
8 yrs
States
2
Exams
3
Since
2018
Est. fee
AUM / Commission / Flat Fee
View profile

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Disclaimer

This directory contains publicly available information from SEC IAPD (Investment Adviser Public Disclosure) and FINRA BrokerCheck. The information is provided for informational purposes only and does not constitute a recommendation or endorsement. Please conduct your own due diligence and consult with a qualified professional before making any investment decisions.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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