JD
Joseph D. Duffey
MADISON AVENUE SECURITIES
Ft. Mitchell, KY 41017
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CRD#: 2250218
JD
Professional summary
Joseph David Duffey, CLU®, who also goes by Joseph D Duffey, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Ft. Mitchell, Kentucky.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Joseph has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph D Duffey
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.
1. NAME: EVEREST FINANCIAL, INC.; INV RELATED: YES; ADDRESS: 305 ARTILLERY PARK DRIVE, SUITE 202FT.MITCHELL, KY 41017; NATURE: SALES OF ANNUITIES, LIFE, HEALTH, DISABILITY, ANNUITIES, LTC INS; POSITION: OWNER/OFFICER/INSURANCE AGENT; START DATE:7/5/2002; HOURS/MONTH: 160 HRS; TRADING HOURS/MONTH:0; DUTIES: OWNER/OFFICER/INSURANCE AGENT. 2. NAME: RIVERS BREEZE COMMUNITY; INV RELATED:NO;; NATURE:HOMEOWNERS ASSOCIATION; POSITION:BOARD MEMBER; START DATE:3/2020; HOURS/MONTH:0; TRADING HOURS/MONTH:0
CRS (Client Relationship Summary) - RIA
Click below to view Joseph David Duffey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph David Duffey'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®
Experience
Current
January 3, 2012 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 305 Artillery Park Drive, Suite 202, Ft. Mitchell, KY 41017RIA
BD
CRD#: 23224
Ft. Mitchell, KY
Current
January 3, 2012 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 305 Artillery Park Drive, Suite 202, Ft. Mitchell, KY 41017RIA
BD
CRD#: 23224
Ft. Mitchell, KY
Past
June 1, 2006 - December 31, 2011
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
COVINGTON, KY
Past
November 18, 2005 - December 31, 2011
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
COVINGTON, KY
Past
February 2, 2005 - November 18, 2005
KALOS CAPITAL, INC.
BD
CRD#: 44337
ALPHARETTA, GA
Past
November 22, 2004 - January 3, 2005
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
September 15, 2004 - November 24, 2004
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
May 1, 2001 - September 16, 2004
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
June 19, 1998 - April 30, 2001
WESTMOORE SECURITIES, INC.
BD
CRD#: 44948
ANAHIEM, CA
Past
February 9, 1998 - June 6, 1998
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
October 18, 1994 - December 23, 1997
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
July 22, 1992 - May 31, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
July 22, 1992 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
Arizona(2/10/2014)
RR
Georgia(7/25/2013)
RR
Indiana(1/3/2012)
RR
Kentucky(1/3/2012)
IAR
Kentucky(1/3/2012)
RR
North Carolina(10/21/2019)
RR
Ohio(1/3/2012)
RR
Utah(9/19/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
Company Information
MADISON AVENUE SECURITIES, LLC
CRD#: 23224Ft. Mitchell, KY 41017TRUST BUT VERIFY
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