Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Duff is a financial advisor who has been in the industry since 1996. Andrew is registered with LPL Financial LLC in both California and Texas. He offers a variety of financial services, including financial planning, portfolio management for individuals and businesses, and consulting. Andrew is also a Certified Financial Planner and a Chartered Financial Consultant. Andrew has a history of working for multiple firms including MonY Securities Corporation, Equitable Advisors, LLC and AXA Advisors, LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
10/17/2023 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
06/01/2005 - 10/19/2023
EQUITABLE ADVISORS, LLC (REDDING CA)
NY
10/28/1996 - 06/01/2005
MONY SECURITIES CORPORATION (NEW YORK NY)
IA
Issued 05/25/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/25/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/1999
Series 7 - General Securities Representative Examination
BC
Issued 10/25/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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