Christopher F. Duffy
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.
Christopher Francis Duffy, who also goes by Christopher Francis Duff, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1994. Christopher had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 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 13, 2018 - May 11, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 6, 2014 - July 13, 2018
STRATEGIC ADVISERS LLC
January 24, 2014 - May 5, 2022
FIDELITY BROKERAGE SERVICES LLC
September 30, 2003 - January 14, 2014
CHARLES SCHWAB & CO., INC.
September 30, 2003 - January 14, 2014
CHARLES SCHWAB & CO., INC.
August 29, 2002 - August 26, 2003
QUICK & REILLY, INC.
March 20, 2002 - August 26, 2003
QUICK & REILLY, INC.
October 11, 2000 - March 26, 2002
LPL FINANCIAL LLC
March 29, 1999 - October 13, 2000
SUMMIT FINANCIAL SERVICES GROUP, INC.
March 14, 1994 - September 15, 1995
L.C. WEGARD & CO., INC.
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
