Joseph Duran has been an investment adviser representative at WinCap Financial since June 2025, and is not listed among the firm’s executive officers or direct owners.
Wincap Financial LLC is a Boston, MA firm with $223M under management, 270 clients and 6 advisers across 7 offices, as of its June 2026 filing.
Joseph Duran’s longest registration was 4 years at UBS Financial Services Inc. (2014–2018). Before joining WinCap Financial in 2025, Joseph Duran was registered through Synergy Capital and Moors & Cabot, Inc.
- Wincap Financial LLCCurrent– present · 1 yearFort Collins, CO · Adviser representative · Firm CRD 315798
- Synergy Capital– · under a yearFort Collins, CO · Adviser representative · Firm CRD 334117
- Moors & Cabot, Inc– · 1 yearFort Collins, CO · Adviser representative · Firm CRD 594
- Cambridge Investment Research Advisors, Inc.– · 2 yearsFort Collins, CO · Adviser representative · Firm CRD 134139
- Woodbury Financial Services, Inc.– · 1 yearFort Collins, CO · Adviser representative · Firm CRD 421
- Questar Asset Management, Inc.– · under a yearGreeley, CO · Adviser representative · Firm CRD 133358
- UBS Financial Services Inc.– · 4 yearsFort Collins, CO · Adviser representative · Firm CRD 8174
- UBS Financial Services Inc.– · 2 yearsFort Collins, CO · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Joseph Duran is registered as an investment adviser representative in Colorado, since June 2025.
- ColoradoSince 20 June 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 17 April 2010 |
| Series 7 | General Securities Representative Examination | 28 July 2009 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joseph L. Duran
- CRD
- 5422057
- Firm
- WinCap Financial · CRD 315798
- Office
- 2580 E HARMONY ROAD, SUITE 301, Fort Collins, CO 80528
- Registration
- Investment adviser registration
- In the industry since
- January 2011
- Disciplinary history
- Not yet shown here · SEC record
Where does Joseph Duran work?
Joseph Duran is an investment adviser representative registered through Wincap Financial LLC since June 2025, and is not listed among the firm’s executive officers or direct owners.
Is Joseph Duran a financial advisor?
Yes. Joseph Duran has a current investment-adviser registration in Colorado, through WinCap Financial since June 2025.
How many years of experience does Joseph Duran have?
Joseph Duran has 15 years in the financial industry, since January 2011, across 7 adviser firms.
What exams has Joseph Duran passed?
Joseph Duran has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in July 2009. FINRA credited Joseph Duran with the SIE, which began in October 2018.
Where did Joseph Duran work before WinCap Financial?
Before WinCap Financial, Joseph Duran was registered through Moors & Cabot, Inc, January 2024 to March 2025; Cambridge Investment Research Advisors, Inc., January 2021 to December 2023; Woodbury Financial Services, Inc., March 2019 to December 2020; Questar Asset Management, Inc., September 2018 to March 2019; UBS Financial Services Inc., June 2014 to October 2018; UBS Financial Services Inc., April 2010 to January 2013.
Where is Joseph Duran based?
Joseph Duran’s registered office is in Fort Collins, CO.
Is Joseph Duran registered with FINRA?
No. Joseph Duran has no current broker registration.
How can I verify Joseph Duran’s record?
Search CRD 5422057 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Duran’s full registration record.