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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Duffy is an investment advisor representative associated with Raymond James Financial Services Advisors, Inc. Brian Duffy has been in the securities industry since October 10, 1987 and has held various roles over the years. Brian Duffy is licensed in multiple states and holds several industry licenses including Series 7, Series 9, Series 10, Series 63 and Series 66.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
WA
12/07/2009 - Present
Raymond James Financial Services Advisors, Inc. (SEATTLE WA)
WA
09/24/1987 - 11/16/2009
EDWARD JONES (SEATTLE WA)
BOTH
Issued 05/21/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/02/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/13/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/15/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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