Edward J. Duffy

CETERA INVESTMENT ADVISERS

Braintree, MA 02184-8734

Some features on this profile are disabled

CRD#: 1055162

Professional summary

Edward John Duffy JR, CFP®, who also goes by Jr Edward John Duffy, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Braintree, Massachusetts and CETERA WEALTH SERVICES, LLC located in Braintree, Massachusetts.

Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Edward has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jr Edward John Duffy

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward John Duffy JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

May 13, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 50 Braintree Hill Office Park Ste 105, Braintree, MA 02184-8734

RIA

CRD#: 105644

Braintree, MA

Current

April 30, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 50 Braintree Hill Office Park Suite 206, Braintree, MA 02184

CRD#: 13572

Braintree, MA

Past

May 2, 2005 - January 7, 2008

LEXINGTON FINANCIAL PLANNING GROUP

RIA

CRD#: 129964

BRAINTREE, MA

Past

April 11, 2001 - May 1, 2026

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

BRAINTREE, MA

Past

July 28, 1993 - May 1, 2026

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

BRAINTREE, MA

Past

March 16, 1993 - July 29, 1993

G.R. STUART & COMPANY, INC.

CRD#: 29101

MAYNARD, MA

Past

January 1, 1990 - March 16, 1993

FINANCIAL SECURITIES NETWORK,INC.

CRD#: 16153

Past

July 20, 1987 - January 1, 1990

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

December 6, 1985 - July 31, 1987

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

January 23, 1985 - December 5, 1985

FINANCIAL CONSULTANTS, INC.

CRD#: 1819

Past

July 23, 1982 - December 14, 1984

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(4/30/2026)

California
(4/30/2026)

Connecticut
(4/30/2026)

Florida
(4/30/2026)

Georgia
(4/30/2026)

Hawaii
(4/30/2026)

Maine
(4/30/2026)

Massachusetts
(4/30/2026)

IAR

Massachusetts
(5/13/2026)

Michigan
(4/30/2026)

New Hampshire
(4/30/2026)

New York
(5/11/2026)

Pennsylvania
(4/30/2026)

Rhode Island
(4/30/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/22/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/18/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/22/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/21/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Edward J. Duffy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward John Duffy JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

LEXINGTON FINANCIAL PLANNING GROUP

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

G.R. STUART & COMPANY, INC.

FINANCIAL SECURITIES NETWORK,INC.

INVESTACORP, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL CONSULTANTS, INC.

METLIFE INVESTORS DISTRIBUTION COMPANY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/22/1985

SIE

Date: 10/1/2018

Series 7

Date: 1/18/1986

Series 6

Date: 7/22/1982

Series 24

Date: 9/21/1995

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors