DUANE WILFRED BERGKAMP is currently employed as a Broker and/or Investment Adviser at WADDELL & REED located at 1861 N. ROCK RD., SUITE 100, WICHITA, KS, 67206.
DUANE WILFRED BERGKAMP has worked at WADDELL & REED since March 06, 1989
Disclosure History
DUANE WILFRED BERGKAMP has 1 Disclosure Event(s).
Date: August 31, 1987 Category: Regulatory Initiated By: KANSAS SECURITIES COMMISSION Allegations: NONE. I WAS NOT LICENSED TO SELL SHARES FOR MAKING INCOME. Resolution: Other Sanction Details: STOP THE AD IN THE PAPER AND CASE WAS DROPPED WITH NO COST, FINES Broker Comment: AFTER RUNNING AN AD IN THE WICHITA BUSINESS JOURNAL LOOKING FOR INVESTMENT MONEY FOR MY FARMING OPERATION THE KS SEC. COMM. MAN CALLED TO SAY THAT WAS ILLEGAL SINCE I WASN'T REGISTERED. WE AGREED TO PULL THE AD AND STOP LOOKING FOR MONEY. HE FILED AN AFFIDAVIT TO THAT EFFECT. ROY BROWN FROM THE KANSAS SECURITIES COMMISSION OFFICE IN WICHITA SAID THERE MAY NOT BE AN ORDER ON FILE IN TOPEKA.
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