Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Duffey is a financial advisor with Wells Fargo Clearing Services, LLC. Christopher has been in the financial industry since February 13, 1989. Christopher has offices in Boca Raton, FL. Christopher has passed the Series 7, Series 31, Series 63 and Series 66 exams. Christopher is registered to provide investment advice in 31 states and is registered with FINRA. Christopher also worked at UBS FINANCIAL SERVICES INC. and CITIGROUP GLOBAL MARKETS INC.
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.
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.
Investment consulting services to institutional clients
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.
1
2
FL
04/07/2010 - Present
Wells Fargo Clearing Services, LLC (BOCA RATON FL)
FL
01/30/2006 - 04/15/2010
UBS FINANCIAL SERVICES INC. (BOCA RATON FL)
NY
01/16/2006 - 01/30/2006
UBS SECURITIES LLC (NEW YORK NY)
NJ
01/14/2005 - 01/16/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
05/22/1989 - 02/03/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NA
02/14/1989 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
BOTH
Issued 06/15/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/10/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 02/11/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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