ED
Edward J. Duffy
CETERA WEALTH SERVICES
Braintree, MA 02184
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CRD#: 1055162
ED
Professional summary
Edward John Duffy JR, CFP®, who also goes by Jr Edward John Duffy, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Braintree, Massachusetts.
Edward is registered as a RR (Registered Representative) and started their career in finance in 1982. Edward has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Edward John Duffy JR's 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®
Start date: 1987
Experience
Current
April 30, 2026 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 50 Braintree Hill Office Park Suite 206, Braintree, MA 02184BD
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
BD
CRD#: 8032
BRAINTREE, MA
Past
March 16, 1993 - July 29, 1993
G.R. STUART & COMPANY, INC.
BD
CRD#: 29101
MAYNARD, MA
Past
January 1, 1990 - March 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
BD
CRD#: 16153
Past
July 20, 1987 - January 1, 1990
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
December 6, 1985 - July 31, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
January 23, 1985 - December 5, 1985
FINANCIAL CONSULTANTS, INC.
BD
CRD#: 1819
Past
July 23, 1982 - December 14, 1984
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Arizona(4/30/2026)
RR
California(4/30/2026)
RR
Connecticut(4/30/2026)
RR
Florida(4/30/2026)
RR
Georgia(4/30/2026)
RR
Hawaii(4/30/2026)
RR
Maine(4/30/2026)
RR
Massachusetts(4/30/2026)
RR
Michigan(4/30/2026)
RR
New Hampshire(4/30/2026)
RR
Pennsylvania(4/30/2026)
RR
Rhode Island(4/30/2026)
RR
Tennessee(4/30/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 20 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
Company Information
CETERA WEALTH SERVICES, LLC
CRD#: 13572Braintree, MA 02184TRUST BUT VERIFY
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