Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Duffy is a financial advisor with over 38 years of experience in the industry. Mark is currently registered with Robert W. Baird & Co. Inc. as a Registered Representative and Investment Advisor Representative. Mark has a strong track record of providing financial advice and investment management services to individuals, families, and businesses. Mark has a wide range of experience in the financial services industry and is committed to providing his clients with the highest level of service. Mark has a passion for helping clients achieve their financial goals and is dedicated to providing them with personalized financial advice.
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.
See schedule d
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.
Hard dollar payments for research
1
2
CO
12/16/2020 - Present
Robert W. Baird & Co. Inc. (DENVER CO)
CO
12/15/2014 - 01/06/2021
BOK FINANCIAL SECURITIES, INC. (Englewood CO)
CO
04/19/2004 - 12/17/2014
AXA ADVISORS, LLC (DENVER CO)
WI
11/08/2002 - 01/26/2004
INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)
NY
05/22/1984 - 08/26/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 04/30/2004
Series 66 - Uniform Combined 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 03/14/2003
Series 24 - General Securities Principal Examination
BC
Issued 11/27/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1984
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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