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James Robert Duffy

PNC Investments

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About James Robert Duffy

James Robert Duffy is a financial advisor at PNC Investments. James has been working in the financial industry since 1995 and has a wealth of experience. James holds several licenses and registrations including Series 7, 63, 65, and 9 & 10. James currently works in the Livonia, MI branch office. The firm's main office is located in Pittsburgh, PA.

Firm Information

James Duffy is currently registered with PNC Investments. PNC Investments, a Limited Liability Company formed in 2003, provides investment advisory services across the United States. They manage a wide range of client assets, including those of individuals, high-net-worth individuals, corporations, pension plans, charitable organizations, and churches. PNC Investments offers portfolio management services for individuals and businesses, as well as selection of other advisors. They also participate in wrap fee programs.
PNC Investments

300 FIFTH AVENUE

PITTSBURGH, PA 15222-2722

$23.90B

Assets Under Management

Not reported

Total Clients

1,112

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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James Duffy’s Registration & Firm History

MI

09/03/2010 - Present

PNC Investments (LIVONIA MI)

MI

10/05/2004 - 11/13/2009

NATCITY INVESTMENTS, INC. (LIVONIA MI)

MI

06/30/2003 - 09/22/2004

COMERICA SECURITIES (DETROIT MI)

MI

02/09/1995 - 07/28/2003

H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)

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Licenses & Designations

IA

Issued 03/23/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/15/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/20/1999

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/06/1995

Series 7 - General Securities Representative Examination

BC

Issued 02/08/1995

Series 52 - Municipal Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Robert Duffy.
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