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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Michael Duffy is a financial advisor in Indianapolis, IN with over 29 years of experience in the financial services industry. John Michael Duffy is currently registered with Morgan Stanley and has previously been employed by UBS FINANCIAL SERVICES INC. and PRUDENTIAL SECURITIES INCORPORATED. John Michael Duffy holds multiple industry licenses including Series 63, Series 65, Series 7 and SIE. John Michael Duffy is a member of the Indiana High School Lacrosse Association.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IN
04/03/2012 - Present
Morgan Stanley (Indianapolis IN)
IN
03/23/2001 - 04/11/2012
UBS FINANCIAL SERVICES INC. (INDIANAPOLIS IN)
NY
11/04/1993 - 03/27/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/03/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/19/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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