Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Duffy is a financial advisor with RBC Capital Markets, LLC, with more than 30 years of experience in the financial services industry. Michael has also been registered with several other firms throughout his career, including Wells Fargo Clearing Services, LLC, First Union Capital Markets Corp., McDonald Investments Inc. and Kemper Securities Group, Inc. Michael is currently registered as an investment advisor representative in Ohio and Texas. His expertise includes providing financial planning, portfolio management, and retirement planning services to individuals, families, and businesses.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
OH
07/07/2023 - Present
RBC Capital Markets, LLC (Port Clinton OH)
OH
10/01/1999 - 07/17/2023
WELLS FARGO CLEARING SERVICES, LLC (WESTLAKE OH)
NC
05/21/1999 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
OH
08/30/1991 - 06/17/1999
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
MO
09/04/1990 - 09/03/1991
KEMPER SECURITIES GROUP, INC. (ST. LOUIS MO)
NA
04/18/1989 - 09/04/1990
PRESCOTT, BALL & TURBEN, INC.
IA
Issued 12/08/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/19/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 04/15/1989
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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