MD
Mark G. Duffy
ROBERT W. BAIRD & CO.
Evergreen, CO
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CRD#: 1262462
MD
Professional summary
Mark Gerald Duffy is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Evergreen, Colorado.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Mark has worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
NAME: MARK DUFFY & ASSOCIATES, LLC
ADDRESS: 8827 SURREY DRIVE, EVERGREEN, CO 80439
INVESTMENT RELATED (Y/N): N
START DATE: 04/2004
POSITION HELD: PRINCIPAL
NATURE OF OUTSIDE BUSINESS: CONSULTING
HRS/MO: 4
HRS/MO DURING SECURITIES TRADING: 0
BRIEF DESCRIPTION OF DUTIES: PROVIDE ADVICE AND DOCUMENTATION REVIEW TO BUSINESS OWNERS
CRS (Client Relationship Summary) - RIA
Click below to view Mark Gerald Duffy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Gerald Duffy'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®
NoneExperience
Current
December 16, 2020 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #2: 210 University Boulevard Ste 800, Denver, CO 80206RIA
BD
CRD#: 8158
Evergreen, CO
Current
December 16, 2020 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 210 University Boulevard Ste 800, Denver, CO 80206RIA
BD
CRD#: 8158
Denver, CO
Past
December 15, 2014 - December 17, 2020
BOK FINANCIAL SECURITIES, INC.
RIA
CRD#: 17530
Englewood, CO
Past
December 15, 2014 - January 6, 2021
BOK FINANCIAL SECURITIES, INC.
BD
CRD#: 17530
Englewood, CO
Past
October 21, 2004 - December 17, 2014
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
DENVER, CO
Past
April 19, 2004 - December 17, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
DENVER, CO
Past
November 8, 2002 - January 26, 2004
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
APPLETON, WI
Past
May 22, 1984 - August 26, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.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(12/16/2020)
IAR
Arizona(12/22/2020)
RR
Arkansas(7/2/2025)
RR
California(12/16/2020)
RR
Colorado(12/16/2020)
IAR
Colorado(12/16/2020)
RR
Florida(12/16/2020)
IAR
Florida(2/3/2022)
RR
Georgia(12/16/2020)
RR
Idaho(9/21/2022)
RR
Illinois(12/16/2020)
RR
Iowa(6/8/2021)
RR
Kansas(9/7/2021)
RR
Maryland(3/1/2021)
RR
Massachusetts(9/21/2022)
RR
Michigan(12/16/2020)
RR
Minnesota(9/21/2022)
RR
Mississippi(8/21/2024)
RR
Missouri(9/21/2022)
RR
Montana(12/16/2020)
RR
Nebraska(10/7/2025)
RR
Nevada(9/21/2022)
RR
New Jersey(9/21/2022)
IAR
New Mexico(12/17/2020)
RR
New York(12/16/2020)
RR
North Carolina(9/21/2022)
RR
Ohio(4/1/2021)
RR
Oklahoma(12/16/2020)
IAR
Oklahoma(12/16/2020)
RR
Oregon(9/21/2022)
RR
Pennsylvania(9/21/2022)
RR
South Carolina(3/26/2024)
RR
South Dakota(9/21/2022)
RR
Texas(12/16/2020)
IAR
Texas(12/16/2020)
RR
Utah(1/21/2022)
RR
Virginia(12/16/2020)
RR
Washington(4/23/2021)
RR
Wisconsin(7/27/2022)
RR
Wyoming(9/21/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/27/1996
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
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.
