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William Joseph Duffy

Northwestern Mutual Investment Services, LLC

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About William Joseph Duffy

William Duffy is a financial advisor with Northwestern Mutual Investment Services, LLC. William has been in the industry since 1999, with prior experience at Scottrade, Inc. and Dean Witter Reynolds Inc. William is licensed in all 50 states and the District of Columbia. William's primary office is located in Franklin, Wisconsin. William is registered as both a broker-dealer and an investment adviser representative. William has passed the Series 7, 63, 65, 24 and 4 exams.

Firm Information

William Duffy is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

ONE NORTHWESTERN MUTUAL WAY

FRANKLIN, WI 53132

Not reported

Assets Under Management

1

Total Clients

10,224

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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investment research; referrals to other advisers

Investment research; referrals to other advisers

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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William Duffy’s Registration & Firm History

WI

03/28/2002 - Present

Northwestern Mutual Investment Services, LLC (FRANKLIN WI)

MO

02/17/2000 - 09/06/2001

SCOTTRADE, INC. (ST. LOUIS MO)

NY

10/23/1998 - 10/13/1999

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 11/25/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/5/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/19/2016

Series 4 - Registered Options Principal Examination

BC

Issued 3/11/2005

Series 24 - General Securities Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/22/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William Joseph Duffy.
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