John R Duffy
Professional Summary
John R Duffy, who also goes by John Robert Duffy, is a registered financial advisor currently at NUORION CAPITAL located in Miami, Florida. John is registered as a RR (Registered Representative) and started their career in finance in 1987. John has worked at 4 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 3, Series 7, Series 24, Series 10, Series 9 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Robert Duffy
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Videos & Posts
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SUMMIT FINANCIAL, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
NUORION CAPITAL | NUORION PARTNERS | NUORION CAPITAL, LLC
Contact Information
Main Address
495 Brickell Ave Suite 2101, Miami, FL 33131Mailing Address
495 Brickell Ave Suite 2101, Miami, FL 33131Phone Number
(917) 859-7268Established
Delaware since 07/07/2021Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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SUMMIT FINANCIAL, LLC
State Registrations and Notice Filings
(8/29/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2022About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 2022About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Sep 1997SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John R Duffy's CRS (Customer Relationship Summary).
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