BD
Bryan C. Duffy
KESTRA ADVISORY SERVICES
New York, NY 10123
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CRD#: 1449366
BD
Professional summary
Bryan Charles Duffy is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in New York, New York and KESTRA INVESTMENT SERVICES, LLC located in New York, New York.
Bryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Bryan has worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 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.
Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: Series 7, Series 66 IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 125 START DATE: 02/01/2023 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESCRIPTION: Manage the existing book of business Conduct ongoing due diligence Manage all client requests related to accounts Set up and establish new accounts Engage w/3rd party managers/TAMPS on outlook, portfolio construction, client communications, etc manage/track all compliance related deliverables to clients and broker dealer Business Name: PELLER WEALTH MANAGEMENT POSITION: Investment Advisory Rep, Series 7, Series 66. I support the business, conduct TAMP/Fund research, and communicate with clients on investment related matters. NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 125 START DATE: 02/01/2023 ADDRESS: 450 Seventh Ave. Suite 1301, New York NY 10123 DESCRIPTION: 1-Manage the existing book of advisory business 2-Conduct ongoing due diligence on managers/TAMPS 3-Manage all client requests related to accounts 4-Set up and establish new accounts 5-Engage 3rd party managers and TAMPS on outlook, changes to portfolios, client communications, etc 6-Manage/track all compliance related deliverables to clients and broker/dealer
CRS (Client Relationship Summary) - RIA
Click below to view Bryan Charles 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
February 1, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 450 Seventh Avenue Suite 2600, New York, NY 10123RIA
CRD#: 283330
New York, NY
Current
February 1, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 450 Seventh Avenue Suite 1301, New York, NY 10123BD
CRD#: 42046
New York, NY
Past
January 25, 2022 - February 24, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NEW YORK, NY
Past
December 21, 2021 - February 24, 2023
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
NEW YORK, NY
Past
October 5, 2015 - October 9, 2017
TOTAL FINANCIAL ADVISORS, LLC
RIA
CRD#: 143998
BETHPAGE, NY
Past
July 17, 2014 - September 15, 2015
CURIAN CAPITAL, LLC
RIA
CRD#: 120270
DENVER, CO
Past
March 27, 2014 - September 15, 2015
CURIAN CLEARING, LLC
BD
CRD#: 132938
DENVER, CO
Past
April 1, 2008 - November 25, 2013
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
April 22, 2005 - April 1, 2008
ASSETMARK CAPITAL CORPORATION
BD
CRD#: 37583
PLEASANT HILL, CA
Past
November 25, 2002 - December 9, 2003
ORBITEX FUNDS DISTRIBUTOR, INC.
BD
CRD#: 41453
STAMFORD, CT
Past
January 4, 2001 - November 22, 2002
FUNDS DISTRIBUTOR, LLC
BD
CRD#: 7174
PORTLAND, ME
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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
Alaska(2/1/2023)
RR
New York(2/1/2023)
IAR
New York(2/1/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/21/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
