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Thomas Patrick Duffy

Knights OF Columbus Asset Advisors LLC

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About Thomas Patrick Duffy

Thomas Duffy is a Registered Representative at Knights of Columbus Asset Advisors LLC in New Haven, Connecticut. Thomas Duffy has been in the securities industry since January 17, 2014. Thomas Duffy has passed the Series 7, Series 24, Series 63, and Series 66 exams. Thomas Duffy is registered with 48 state securities authorities. Thomas Duffy also has previous registrations with Foreside Fund Services, LLC and BACAP Distributors, LLC.

Firm Information

Thomas Duffy is currently registered with Knights OF Columbus Asset Advisors LLC. Knights OF Columbus Asset Advisors LLC is an investment advisory firm located in NEW HAVEN, CT. They offer portfolio management services to individuals, investment companies, pooled investment vehicles, and businesses. The firm also provides pension consulting and selection of other advisers services. They manage a total of $27.24 billion in assets for 3,799 clients. They are registered with the SEC and have a SEC number of 801-80844.
Knights OF Columbus Asset Advisors LLC

ONE COLUMBUS PLAZA

NEW HAVEN, CT 06510

$27.24B

Assets Under Management

Not reported

Total Clients

197

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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pension consulting services

Guidance on pension options to ensure a secure financial future.

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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.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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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Thomas Duffy’s Registration & Firm History

CT

07/13/2022 - Present

Knights OF Columbus Asset Advisors LLC (New Haven CT)

CT

03/01/2016 - 12/31/2020

FORESIDE FUND SERVICES, LLC (New Haven CT)

NC

09/05/2001 - 10/22/2003

BACAP DISTRIBUTORS, LLC (CHARLOTTE NC)

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Licenses & Designations

BOTH

Issued 08/21/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/20/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/22/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/01/2016

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Patrick Duffy.
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