Compliance & Supervision
With an ever-changing regulatory landscape, Duncan Advisor Resources provides advisors with supervision that is hands on and easy-to-reach. Our OSJs are always available to discuss current or pending issues with our advisors to proactively meet client needs and comply with regulations.
Our goal is to decrease the amount of time you need to spend on compliance so that you can be in front of your clients and doing what you do best.
Transitioning to a new broker dealer can be daunting. Led by our Operations Manager, Greg Hicks, you can be confident you will have the full support you need to transition successfully and with as little disruption to your practice as possible.
We have developed concise and thorough workflows to provide transparency and direction throughout the process. The transition process begins with a thorough analysis of your business processes, structure, and needs. This will allow our transition team to provide you with a roadmap to your transition.
Transition support includes:
- Completing advisor broker-dealer paperwork
- Re-papering accounts
- Administrative Training
- Technology Training
Larry Qvistgaard, President of Duncan Advisor Resources, hosts a weekly advisor call to provide best practices and advisor collaboration to support and grow your business. Drawing on over 25 years of industry experience and best practices currently utilized within our retail branch, Larry provides advisors with insights on sales ideas, compliance issues, and industry standards.
Weekly call topics can include:
- Administrative Best Practices
- Broker Dealer & Industry Updates
- Sales Ideas
- Financial Product Overviews
- Advisor Tools Overviews
- Practice Management
Advisors also get the opportunity to share success stories, issues, and concerns in an open forum to learn from one another’s experiences. It provides a perfect balance of independence and professional support.
The day to day activities of running a practice are often cumbersome and deter from your opportunities to be in front of clients and generating revenue. Our team is available to support you and provide guidance as you build your practice. We focus on helping you develop operational and administrative efficiencies, evaluating and refining your business model as needed, and introducing you to products and technology that make doing business easier.
In addition to weekly calls, Duncan Advisor Resources hosts an annual branch meeting. Member advisors enjoy 2 days of knowledge sharing, breakout sessions and workshops, and professional comradery. The annual branch meeting features sponsor presentations of new products and sales ideas that can be incorporated into your current business practices to further meet your clients’ needs.
Advisors also have the opportunity to meet with our team of professionals that offer additional services in the 401(k), group benefits, and tax and accounting arenas.
Investment Policy Committee
The Duncan Financial Group and Duncan Advisor Resources Investment Policy Committee (IPC) is a geographically diverse group of almost two dozen licensed registered representatives and Investment Advisor Representatives. The group meets every Monday morning in person and by Webinar to share and discuss many topics in the investment world, including specific investment solutions and different market, economic and geopolitical scenarios. They act as a “think tank” by collaborating and peer-sharing fresh ideas and investment concepts.
The IPC creates a listing of mutual funds based on asset category, as well as asset category weightings, and makes them available to our reps for financial professional use only.
The IPC is headed by David S. Duncan, CFP and CEO, Duncan Financial Group, and Thomas J. Walsh, CFA and President, Walsh Asset Management, LLC. The committee traces its roots back almost 15 years.