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RIA / WealthAdvisor16 years in industry

JOSEPH L. DURAN

Advisor at WINCAP FINANCIAL LLC

FORT COLLINS, CO | BOSTON, MA

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Search this name across graphsid dfx:ria:20e8daa0-c2cf-62a8-4654-1749f9b09140

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Apr 19, 2010 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WINCAP FINANCIAL LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 17, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 17, 2010
First registration: Apr 19, 2010
Dual registered: no
Other names: JOSEPH DURAN|JOSEPH LOUIS DURAN|JOSEPH LOUIS DURAN
IAPD individual key: 5422057

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WINCAP FINANCIAL LLC	Independent wealth	Jun 20, 2025	n/a	yes	FORT COLLINS, CO\|BOSTON, MA	Current employment
SYNERGY CAPITAL	Independent wealth	Feb 24, 2025	Jun 23, 2025	no	FORT COLLINS, CO\|FORT COLLINS, CO	Previous registration
MOORS & CABOT, INC	Bd affiliated wealth	Jan 2, 2024	Mar 3, 2025	no	BOSTON, MA\|BOSTON, MA\|Fort Collins, CO\|PHOENIX, AZ	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Jan 4, 2021	Dec 31, 2023	no	Fort Collins, CO	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Mar 1, 2019	Dec 31, 2020	no	WINDSOR, CO\|FORT COLLINS, CO	Previous registration
QUESTAR ASSET MANAGEMENT, INC.	Former SEC adviser	Sep 21, 2018	Mar 1, 2019	no	GREELEY, CO\|MINNEAPOLIS, MN	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 27, 2014	Oct 2, 2018	no	FORT COLLINS, CO	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 19, 2010	Jan 23, 2013	no	FORT COLLINS, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SYNERGY CAPITAL	WINCAP FINANCIAL LLC	Jun 23, 2025	Jun 20, 2025	-3	Firm change	RIA to RIA
MOORS & CABOT, INC	SYNERGY CAPITAL	Mar 3, 2025	Feb 24, 2025	-7	Firm change	Ibd to new firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	MOORS & CABOT, INC	Dec 31, 2023	Jan 2, 2024	2	Firm change	Ibd to ibd
WOODBURY FINANCIAL SERVICES, INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Dec 31, 2020	Jan 4, 2021	4	Firm change	Ibd to ibd
QUESTAR ASSET MANAGEMENT, INC.	WOODBURY FINANCIAL SERVICES, INC.	Mar 1, 2019	Mar 1, 2019	0	Bulk transfer	Ibd to ibd
UBS FINANCIAL SERVICES INC.	QUESTAR ASSET MANAGEMENT, INC.	Oct 2, 2018	Sep 21, 2018	-11	Firm change	Wirehouse to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
594:334117:AZ:2025-03-03	Mar 3, 2025	Feb 24, 2025	PHOENIX, AZ	Firm change

Relationships

Registered with (7)

→ WINCAP FINANCIAL LLCRegistered adviserregistration: current employment
Jun 20, 2025 to presentfactForm ADV
→ SYNERGY CAPITALRegistered adviserregistration: previous registration
Feb 24, 2025 to Jun 23, 2025factForm ADV
→ MOORS & CABOT, INCRegistered adviserregistration: previous registration
Jan 2, 2024 to Mar 3, 2025factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Jan 4, 2021 to Dec 31, 2023factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 1, 2019 to Dec 31, 2020factForm ADV
→ QUESTAR ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Sep 21, 2018 to Mar 1, 2019factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 27, 2014 to Oct 2, 2018factForm ADV

Dated events

Occurred
Jun 23, 2025
Advisor changed firm
Joseph L. Duran left Synergy Capital for Wincap Financial Llc (registered 2025-06-20)
Form ADVobserved 5 days ago
Occurred
Mar 3, 2025
Advisor changed firm
Joseph L. Duran left Moors & Cabot, Inc for Synergy Capital (registered 2025-02-24)
Form ADVobserved 5 days ago
Occurred
Dec 31, 2023
Advisor changed firm
Joseph L. Duran left Cambridge Investment Research Advisors, Inc. for Moors & Cabot, Inc (registered 2024-01-02)
Form ADVobserved 5 days ago