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Duncan Radcliffe

Principal Securities, INC.
25 Years of Experience
Pittsford, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Duncan Radcliffe is a ChFC-designated registered investment advisor at Principal Securities, INC., based in Pittsford, NY, with 25 years of industry experience. Duncan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 51,941 clients with $17B in assets under management.

Principal Securities, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1709 advisors
Number of Clients
51,941 clients
Average Client Portfolio
$328K average
Assets Under Management
$17.0B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $150K1.75%
$150K - $250K1.75%
$250K - $500K1.75%
$500K - $1000K1.20%
$1M+1.10%

Fees are negotiable and collected quarterly in arrears. Schedule reflects the SEI Managed Account Solutions program maximum fees. Other programs utilize promoter fees ranging from 0.07% to 1.50% or asset-based fees up to 1.95%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1175 Pittsford Victor Rd, Ste 150, Pittsford, NY, 14534

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2023
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Duncan sells fixed life insurance, fixed annuities, disability insurance, and long-term care insurance through various carriers since 2014. He also owns 50% of Blue Wave Properties LLC, which owns rental properties, and is a member of DIR Wealth Management, LLC, formed for liability reasons related to his office lease, dedicating minimal time to this.

Employment History
Current Registrations
Principal Securities, INC.
June 2021 - Present · 5 yrs 4 mos
Principal Securities, INC.Broker
June 2001 - Present · 25 yrs 4 mos
State Registrations31 states
AZCACOCTDEFLGAINKYLAMAMDMEMIMNNCNHNJNVNYOHORPASCSDTNTXVAVTWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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