John E. Duffin

AMERITAS ADVISORY SERVICES

FISHERS, IN

Some features on this profile are disabled

CRD#: 1431524

Professional summary

John Edward Duffin, who also goes by Duff Duffin, is a registered financial advisor currently at AMERITAS ADVISORY SERVICES, LLC located in Fishers, Indiana and AMERITAS INVESTMENT COMPANY, LLC located in Fishers, Indiana.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. John has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Duff Duffin

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.

DUFFIN FINANCIAL & INSURANCE BROKERAGE, INC; SAME AS BRANCH; INV REL; OWNER/PRESIDENT; START DATE=04/2004; HRS/MO=168; TRADING HRS/MO=168; SALES, MARKETING, COMPLIANCE, BOOKKEEPING * United Health Care; same as branch; non-inv rel; Medicare Supplement, Medicare Part D prescriptions, Medicare Advantage plans, supplementary senior products; Agent; start date=05/2019; hrs/mo-15; trading hrs/mo=10; contact clients who have approached UHD or AARP or referred to me on their Medicare choices each year or at 65 when entering Medicare under federal regulations * Heritage Advisory Group; same as branch; inv rel; agency for life, disability, annuity-both fixed and indexed, long term care, in the career side and the brokerage side; General Agent; start date=12/2020; hrs/mo=168; trading hrs/mo=168; sales and recruiting of all products

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Edward Duffin'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®

None

Experience

Current

November 1, 2021 - Present

AMERITAS ADVISORY SERVICES, LLC

RIA

CRD#: 317245

FISHERS, IN

Current

December 7, 2020 - Present

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

FISHERS, IN

Past

December 23, 2020 - November 1, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

FISHERS, IN

Past

December 1, 2020 - December 1, 2020

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

June 7, 2011 - December 8, 2020

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

Carmel, IN

Past

October 1, 2010 - December 8, 2020

ONEAMERICA SECURITIES, INC.

CRD#: 4173

Carmel, IN

Past

January 1, 2004 - October 1, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

FISHERS, IN

Past

January 1, 1996 - January 1, 2004

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

January 28, 1993 - January 1, 1996

OLD SLIP CAPITAL MANAGEMENT, INC.

CRD#: 7360

NEW YORK, NY

Past

March 13, 1990 - December 31, 1992

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

CRD#: 8478

INDIANAPOLIS, IN

Past

August 12, 1987 - March 20, 1990

HISTORIC SQUARE EQUITIES, INCORPORATED

CRD#: 15069

CHICAGO, IL

Past

December 5, 1985 - August 18, 1987

LOCUST STREET SECURITIES, INC.

CRD#: 1703

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".

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

Registered Investment Advisory firm - (1/13/1998 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

Colorado
(8/3/2022)

Florida
(9/13/2021)

Indiana
(12/7/2020)

IAR

Indiana
(11/1/2021)

Missouri
(1/13/2021)

Nebraska
(2/12/2024)

Ohio
(8/17/2023)

South Carolina
(12/16/2024)

Texas
(1/13/2021)

IAR

Texas
(11/1/2021)

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: 12/10/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/4/1985

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA

Registered Investment Advisory firm - (1/13/1998 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

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

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

Contact information

Main Address

5900 O Street, Lincoln, NE 68510

Mailing Address

Phone number

(800) 335-9858

Established

Firm type

Fiscal year end

# of Employees

560

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/19/2025)

AMERITAS INVESTMENT STRATEGIES WRAP BROCHURE (9/19/2025)

AMERITAS WEALTH PLATFORM (9/19/2025)

GALAXY WRAP FEE BROCHURE (9/19/2025)

GALAXY II WRAP FEE BROCHURE (9/19/2025)

CONSTELLATION WRAP FEE PROGRAM (9/19/2025)

Regulatory assets under management

Total Number of Accounts	41,501
AUM (Assets Under Management)	$ 11,506,548,514

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
07/23/2024	Cover Page	Report
07/27/2023	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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John E. Duffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

LOCUST STREET SECURITIES, INC.

OLD SLIP CAPITAL MANAGEMENT, INC.

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

HISTORIC SQUARE EQUITIES, INCORPORATED

LOCUST STREET SECURITIES, INC.

Primary Firm SEC Registration

AMERITAS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/10/1985

SIE

Date: 10/1/2018

Series 6

Date: 12/4/1985

FINRA

Current Firm

AMERITAS ADVISORY SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AMERITAS ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors