Leo C. Duffield
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leo Clifton Duffield JR, CFP®, who also goes by Cliff Duffield, was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 1985. Leo had worked at 12 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2020 - April 6, 2021
MAS ADVISORS LLC
November 25, 2013 - March 11, 2016
KESTRA INVESTMENT SERVICES, LLC
June 3, 2008 - October 31, 2013
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
June 3, 2008 - October 31, 2013
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
April 11, 2007 - June 3, 2008
GRANT WILLIAMS L.P.
June 24, 2002 - April 11, 2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
June 21, 2002 - April 11, 2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
November 15, 2000 - July 8, 2002
CHAPMAN SECURITIES, INC.
March 8, 1997 - December 12, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 17, 1993 - March 18, 1997
FAS WEALTH MANAGEMENT SERVICES, INC.
April 1, 1991 - March 9, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 3, 1989 - April 1, 1991
PW SECURITIES, INC.
May 16, 1989 - November 10, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
October 4, 1988 - April 27, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
October 22, 1985 - June 14, 1988
BIRCHTREE FINANCIAL SERVICES LLC
Primary Firm SEC Registration
MAS ADVISORS LLC
CRD#: 165906 / SEC#: 801-77354
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MAS ADVISORS LLC
CRD#: 165906 / SEC#: 801-77354
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 122 |
| AUM (Assets Under Management) | $ 1,497,268,874 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2026 | ||
| 01/28/2025 | ||
| 10/27/2023 |
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.
