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Brian Joseph Duffy

Northern Lights Distributors, LLC

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About Brian Joseph Duffy

Brian Duffy is a financial advisor with over 27 years of experience in the financial services industry. Brian is currently registered with Northern Lights Distributors, LLC in Elkhorn, NE. Brian has held prior registrations with Sealy Investment Securities, LLC, Select Capital Corporation, S2K Financial LLC, Stira Capital Markets Group, LLC, Park Avenue Securities LLC, AXA Distributors, LLC, Planco Financial Services, Inc., and Vanguard Marketing Corporation.

Firm Information

Brian Duffy is currently registered with Northern Lights Distributors, LLC. Northern Lights Distributors, LLC is a Limited Liability Company formed in December 2003. The company is registered in all 50 states and the District of Columbia.

Not reported

Assets Under Management

Not reported

Total Clients

88

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Brian Duffy’s Registration & Firm History

NE

05/13/2024 - Present

Northern Lights Distributors, LLC (ELKHORN NE)

TX

07/14/2020 - 02/09/2024

SEALY INVESTMENT SECURITIES, LLC (DALLAS TX)

CA

12/18/2019 - 05/08/2020

SELECT CAPITAL CORPORATION (SAN JUAN CAPISTRANO CA)

FL

01/03/2019 - 12/12/2019

S2K FINANCIAL LLC (ORLANDO FL)

CA

06/06/2011 - 10/18/2018

STIRA CAPITAL MARKETS GROUP, LLC (IRVINE CA)

TX

11/01/2010 - 05/09/2011

PARK AVENUE SECURITIES LLC (HOUSTON TX)

NC

10/05/2004 - 10/01/2010

AXA DISTRIBUTORS, LLC (CHARLOTTE NC)

CT

11/20/1995 - 10/04/2004

PLANCO FINANCIAL SERVICES, INC. (HARTFORD CT)

PA

12/09/1994 - 05/16/1995

VANGUARD MARKETING CORPORATION (MALVERN PA)

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Licenses & Designations

BC

Issued 01/24/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/26/2011

Series 7 - General Securities Representative Examination

BC

Issued 12/08/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brian Joseph Duffy.
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