Lloyd A. Duff
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.
Lloyd Albert Duff was a registered financial professional .
Lloyd is a previously registered financial professional and started their career in finance in 1992. Lloyd had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2012 - September 28, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2012 - September 28, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 7, 2010 - September 14, 2011
CHASE INVESTMENT SERVICES CORP.
October 7, 2010 - September 14, 2011
CHASE INVESTMENT SERVICES CORP.
April 7, 2006 - March 31, 2008
INSPHERE SECURITIES, INC.
March 1, 2006 - October 1, 2010
CETERA WEALTH SERVICES, LLC
February 16, 2006 - October 1, 2010
CETERA WEALTH SERVICES, LLC
September 9, 2005 - February 9, 2006
ALLSTATE FINANCIAL SERVICES, LLC
February 5, 2003 - August 31, 2005
ZIONS DIRECT, INC.
January 31, 2003 - August 31, 2005
ZIONS DIRECT, INC.
January 16, 2001 - August 20, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - January 21, 2003
WELLS FARGO INVESTMENTS, LLC
June 7, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 10, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
March 27, 1997 - December 8, 1998
BA INVESTMENT SERVICES, INC.
April 27, 1992 - March 13, 1997
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
